[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2006 Edition]
[From the U.S. Government Printing Office]



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          32


          Parts 400 to 629

                         Revised as of July 1, 2006


          National Defense
          
          


________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2006
          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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                            Table of Contents



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

  Title 32:
    Subtitle A--Department of Defense (Continued)
          Chapter V--Department of the Army                          5
  Finding Aids:
      Table of CFR Titles and Chapters........................     611
      Alphabetical List of Agencies Appearing in the CFR......     629
      List of CFR Sections Affected...........................     639

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

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

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

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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 
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    To determine whether a Code volume has been amended since its 
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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 
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inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, 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, 
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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.

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appearing in the Code of Federal Regulations.

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[[Page vii]]

    The Office of the Federal Register also offers a free service on the 
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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2006.

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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, 2006.

    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.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

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                       TITLE 32--NATIONAL DEFENSE




                  (This book contains parts 400 to 629)

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

              SUBTITLE A--Department of Defense (Continued)

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


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

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              Subtitle A--Department of Defense (Continued)

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                    CHAPTER V--DEPARTMENT OF THE ARMY




                           (Parts 400 to 629)

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

       SUBCHAPTER A--AID OF CIVIL AUTHORITIES AND PUBLIC RELATIONS
Part                                                                Page
400-500         [Reserved]
501             Employment of troops in aid of civil 
                    authorities.............................           7
502             Relief assistance...........................           9
504             Obtaining information from financial 
                    institutions............................          15
505             The Army Privacy program....................          23
507             Manufacture and sale of decorations, medals, 
                    badges, insignia, commercial use of 
                    heraldic designs and Heraldic Quality 
                    Control Program.........................          64
508             Competition with civilian bands.............          70
510             Chaplains...................................          70
513             Indebtedness of military personnel..........          71
516             Litigation..................................          82
518             The Freedom of Information Act Program......         138
519             Publication of rules affecting the public...         194
525             Entry authorization regulation for Kwajalein 
                    Missile Range...........................         202
                    SUBCHAPTER B--CLAIMS AND ACCOUNTS
534             Military court fees.........................         209
536             Claims against the United States............         213
537             Claims on behalf of the United States.......         249
538             Military payment certificates...............         257
                    SUBCHAPTER C--MILITARY EDUCATION
542             Schools and colleges........................         261
543-544         [Reserved]

       SUBCHAPTER D--MILITARY RESERVATIONS AND NATIONAL CEMETERIES
552             Regulations affecting military reservations.         264
553             Army national cemeteries....................         325

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555             Corps of Engineers, research and 
                    development, laboratory research and 
                    development and tests, work for others..         337
                    SUBCHAPTER E--ORGANIZED RESERVES
562             Reserve Officers' Training Corps............         343
564             National Guard regulations..................         346
                         SUBCHAPTER F--PERSONNEL
571             Recruiting and enlistments..................         354
575             Admission to the United States Military 
                    Academy.................................         360
578             Decorations, medals, ribbons, and similar 
                    devices.................................         364
581             Personnel review board......................         464
583             Former personnel [Reserved]
584             Family support, child custody, and paternity         473
589             Compliance with court orders by personnel 
                    and command sponsored family members....         492
                        SUBCHAPTER G--PROCUREMENT
619             [Reserved]

                  SUBCHAPTER H--SUPPLIES AND EQUIPMENT
621             Loan and sale of property...................         497
623             Loan of Army materiel.......................         508
625             Surface transportation--administrative 
                    vehicle management......................         548
626             Biological Defense Safety Program...........         549
627             The Biological Defense Safety Program, 
                    technical safety requirements (DA 
                    Pamphlet 385-69)........................         561

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       SUBCHAPTER A_AID OF CIVIL AUTHORITIES AND PUBLIC RELATIONS



                        PARTS 400-500 [RESERVED]



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




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

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

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



Sec. 501.1  Basic policies.

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



Sec. 501.2  Emergency.

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

[[Page 8]]

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



Sec. 501.3  Command authority.

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



Sec. 501.4  Martial law.

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

[[Page 9]]

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



Sec. 501.5  Protection of Federal property.

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



Sec. 501.6  End of commitment.

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



Sec. 501.7  Loan of military resources to civil authorities.

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



PART 502_RELIEF ASSISTANCE--Table of Contents




                             Disaster Relief

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

[[Page 10]]

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

                            Relief Shipments

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

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

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

                             Disaster Relief



Sec. 502.1  Purpose and applicability.

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



Sec. 502.2  Definitions.

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

[[Page 11]]

Agency, and other Department of Defense agencies.



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

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



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

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

[[Page 12]]

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



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

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

[[Page 13]]

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

[[Page 14]]

coordinated among Division/District Engineers and the ZI army 
commanders, and include provisions covering flood emergencies.

                            Relief Shipments



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

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

[[Page 15]]

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

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

[27 FR 177, Jan 6, 1962]



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




Sec.
504.1 General.
504.2 Procedures.

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

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

    Source: 70 FR 60723, Oct. 19, 2005, unless otherwise noted.



Sec. 504.1  General.

    (a) Purpose. This part provides DA policies, procedures, and 
restrictions governing access to and disclosure of financial records 
maintained by financial institutions during the conduct of Army 
investigations or inquiries.
    (b) Applicability and scope. (1) This part applies to the Active 
Army, the Army National Guard of the United States (ARNGUS)/Army 
National Guard (ARNG), and the United States Army Reserve unless 
otherwise stated.
    (2) The provisions of 12 U.S.C. 3401 et seq. do not govern obtaining 
access to financial records maintained by financial institutions located 
outside of the territories of the United States, Puerto Rico, the 
District of Columbia, Guam, American Samoa, or the Virgin Islands. The 
procedures outlined in Sec. 504.2(d)(4) will be followed in seeking 
access to financial information from these facilities.
    (3) This part also applies to financial records maintained by 
financial institutions as defined in Sec. 504.1(c)(1).
    (c) Explanation of terms. (1) For purposes of this part, the 
following terms apply:
    (i) Financial institution. Any office of a--
    (A) Bank.
    (B) Savings bank.
    (C) Card issuer as defined in section 103 of the Consumers Credit 
Protection Act (15 U.S.C. 1602(n)).
    (D) Industrial loan company.
    (E) Trust company.
    (F) Savings association.
    (G) Building and loan association.
    (H) Homestead association (including cooperative banks).
    (I) Credit union.
    (J) Consumer finance institution.
    (ii) This includes only those offices located in any State or 
territory of the

[[Page 16]]

United States, or in the District of Columbia, Puerto Rico, Guam, 
American Samoa, or the Virgin Islands.
    (2) Financial record. An original record, its copy, or information 
known to have been derived from the original record held by a financial 
institution, pertaining to a customer's relationship with the financial 
institution.
    (3) Person. An individual or partnership of five or fewer 
individuals. (Per DODD 5400.12.)
    (4) Customer. Any person or authorized representative of that 
person--
    (i) Who used or is using any service of a financial institution.
    (ii) For which a financial institution is acting or has acted as a 
fiduciary for an account maintained in the name of that person.
    (5) Law enforcement inquiry. A lawful investigation or official 
proceeding inquiring into a violation of, or failure to comply with, a 
criminal or civil statute or any regulation, rule, or order issued 
pursuant thereto.
    (6) Army law enforcement office. Any army element, agency, or unit 
authorized to conduct investigations under the Uniform Code of Military 
Justice or Army regulations. This broad definition of Army law 
enforcement office includes military police, criminal investigation, 
inspector general, and military intelligence activities conducting 
investigations of suspected violations of law or regulation.
    (7) Personnel security investigation. An investigation required to 
determine a person's eligibility for access to classified information, 
assignment or retention in sensitive duties, or other designated duties 
requiring such investigation. Personnel security investigation includes 
investigations of subversive affiliations, suitability information, or 
hostage situations conducted to make personnel security determinations. 
It also includes investigations of allegations that--
    (i) Arise after adjudicative action, and
    (ii) Require resolution to determine a person's current eligibility 
for access to classified information or assignment or retention in a 
sensitive position. With DA, the Defense Investigative Service conducts 
personnel security investigations.
    (d) Policy--(1) Customer consent. It is DA policy to seek customer 
consent to obtain a customer's financial records from a financial 
institution unless doing so would compromise or harmfully delay a 
legitimate law enforcement inquiry. If the person declines to consent to 
disclosure, the alternative means of obtaining the records authorized by 
this part will be used. (See Sec. 504.2 (c) through (g).)
    (2) Access requests. Except as provided in paragraph (d)(3) of this 
section and Sec. Sec. 504.1(f)(1), 504.2(g) and 504.2(j), Army 
investigative elements may not have access to or obtain copies of the 
information in the financial records of any customer from a financial 
institution unless the financial records are reasonably described and 
the--
    (i) Customer has authorized such disclosure (Sec. 504.2(b));
    (ii) Financial records are disclosed in response to a search warrant 
which meets the requirements of Sec. 504.2(d);
    (iii) Financial records are disclosed in response to a judicial 
subpoena which meets the requirements of Sec. 504.2(e); or
    (iv) Financial records are disclosed in response to a formal written 
request which meets the requirements of Sec. 504.2(f).
    (3) Voluntary information. Nothing in this part will preclude any 
financial institution, or any officer, employee, or agent of a financial 
institution, from notifying an Army investigative element that such 
institution, or officer, employee or agent has information which may be 
relevant to a possible violation of any statute or regulation.
    (e) Authority. (1) Law enforcement offices are authorized to obtain 
records of financial institutions per this part, except as provided in 
Sec. 504.2(e).
    (2) The head of a law enforcement office of field grade rank or 
higher (or an equivalent grade civilian official) is authorized to 
initiate requests for such records.
    (f) Exceptions and waivers. (1) A law enforcement office may issue a 
formal written request for basic identifying account information to a 
financial institution as part of a legitimate law enforcement inquiry. 
The request may be issued for any or all of the following identifying 
data:

[[Page 17]]

    (i) Name.
    (ii) Address.
    (iii) Account number.
    (iv) Type of account of any customer or ascertainable group of 
customers associated with a financial transaction or class of financial 
transactions.
    (2) A request for disclosure of the above specified basic 
identifying data on a customer's account may be issued without complying 
with the customer notice, challenge, or transfer procedures described in 
Sec. 504.2. However, if access to the financial records themselves is 
required, the procedures in Sec. 504.2 must be followed. (A sample 
format for requesting basic identifying account data is in app. A.)
    (3) This part will not apply when financial records are sought by 
the Army under the Federal Rules for Civil Procedure, Criminal 
Procedure, Rules for Courts-Martial, or other comparable rules of other 
courts in connection with litigation to which the Government and the 
customer are parties.
    (4) No exceptions or waivers will be granted for those portions of 
this part required by law. Submit requests for exceptions or waivers of 
other aspects of this part to HQDA OPMG (DAPM-MPD-LE), Washington, DC 
20310-2800.



Sec. 504.2  Procedures.

    (a) General. A law enforcement official seeking access to a person's 
financial records will, when feasible, obtain the customer's consent. 
This section also sets forth other authorized procedures for obtaining 
financial records if it is not feasible to obtain the customer's 
consent. Authorized procedures for obtaining financial records follow. 
All communications with a U.S. Attorney or a U.S. District Court, as 
required by this part, will be coordinated with the supporting staff 
judge advocate before dispatch.
    (b) Customer consent. (1) A law enforcement office may gain access 
to or a copy of a customer's financial records by obtaining the 
customer's consent and authorization in writing. (See app. B to this 
part for a sample format.) Any consent obtained under the provisions of 
this paragraph must--
    (i) Be in writing, signed, and dated.
    (ii) Identify the particular financial records being disclosed.
    (iii) State that the customer may revoke the consent at any time 
before disclosure.
    (iv) Specify the purpose of disclosure and to which agency the 
records may be disclosed.
    (v) Authorize the disclosure for a period not over 3 months.
    (vi) Contain a ``'Statement of Customer Rights Under the Right to 
Financial Privacy Act of 1978'' (12 U.S.C. 3401 et seq.) (app. B).
    (2) Any customer's consent not containing all of the elements listed 
in paragraph (a) of this section will not be valid.
    (3) A copy of the customer's consent will be made a part of the law 
enforcement inquiry file.
    (4) A certification of compliance with 12 U.S.C. 3401 et seq. (app. 
C), along with the customer's consent, will be provided to the financial 
institution as a prerequisite to obtaining access to the financial 
records.
    (c) Administrative summons or subpoena. The Army has no authority to 
issue an administrative summons or subpoena for access to financial 
records.
    (d) Search warrant. (1) A law enforcement office may obtain 
financial records by using a search warrant obtained under Rule 41 of 
the Federal Rules of Criminal Procedure in appropriate cases.
    (2) No later than 90 days after the search warrant is served, unless 
a delay of notice is obtained under Sec. 504.2(i), a copy of the search 
warrant and the following notice must be mailed to the customer's last 
known address:
    Records or information concerning your transactions held by the 
financial institution named in the attached search warrant were obtained 
by this (office/agency/unit) on (date) for the following purpose: (state 
purpose). You may have rights under the Right to Financial Privacy Act 
of 1978.
    (3) Search authorization signed by installation commanders or 
military judges will not be used to gain access to financial records 
from financial institutions in any State or territory of the United 
States.
    (4) Access to financial records maintained by military banking 
contractors in overseas areas or by other financial

[[Page 18]]

institutions located on DOD installations outside the United States, 
Puerto Rico, the District of Columbia, Guam, American Samoa, or the 
Virgin Islands is preferably obtained by customer consent.
    (i) In cases where it would not be appropriate to obtain this 
consent or such consent is refused and the financial institution is not 
otherwise willing to provide access to its records, the law enforcement 
activity may seek access by use of a search authorization. This 
authorization must be prepared and issued per AR 27-10, Military 
Justice.
    (ii) Information obtained under this paragraph should be properly 
identified as financial information. It should be transferred only where 
an official need-to-know exists. Failure to do so, however, does not 
render the information inadmissible in courts-martial or other 
proceedings.
    (iii) Law enforcement activities seeking access to financial records 
maintained by all other financial institutions overseas will comply with 
local foreign statutes or procedures governing such access.
    (e) Judicial subpoena. Judicial subpoenas--
    (1) Are those subpoenas issued in connection with a pending judicial 
proceeding.
    (2) Include subpoenas issued under Rule for Courts-Martial 703(e)(2) 
of the Manual for Courts-Martial and Article 46 of the Uniform Code of 
Military Justice. The servicing staff judge advocate will be consulted 
on the availability and use of judicial subpoenas.
    (f) Formal written request. (1) A law enforcement office may 
formally request financial records when the records are relevant to a 
legitimate law enforcement inquiry. This request may be issued only if--
    (i) The customer has declined to consent to the disclosure of his or 
her records, or
    (ii) Seeking consent from the customer would compromise or harmfully 
delay a legitimate law enforcement inquiry.
    (2) A formal written request will be in a format set forth in 
appendix D of this part and will--
    (i) State that the request is issued under the Right to Financial 
Privacy Act of 1978 and this part.
    (ii) Described the specific records to be examined.
    (iii) State that access is sought in connection with a legitimate 
law enforcement inquiry.
    (iv) Describe the nature of the inquiry.
    (v) Be signed by the head of the law enforcement office or a 
designee (persons specified in Sec. 504.1(e)(2)).
    (3) At the same time or before a formal written request is issued to 
a financial institution, a copy of the request will be personally served 
upon or mailed to the customer's last known address unless a delay of 
customer notice has been obtained under Sec. 504.2(i). The notice to 
the customer will be--
    (i) In a format similar to appendix E of this part.
    (ii) Personally served at least 10 days or mailed at least 14 days 
before the date on which access is sought.
    (4) The official who signs the customer notice is designated to 
receive any challenge from the customer.
    (5) The customer will have 10 days to challenge a notice request 
when personal service is made, and 14 days when service is by mail.
    (6) The head of the law enforcement office initiating the formal 
written request will set up procedures to ensure that no access to 
financial records is attempted before expiration of the above time 
periods--
    (i) While awaiting receipt of a potential customer challenge, or
    (ii) While awaiting the filing of an application for an injunction 
by the customer.
    (7) Proper preparation of the formal written request and notice to 
the customer requires preparation of motion papers and a statement 
suitable for court filing by the customer. Accordingly, the law 
enforcement office intending to initiate a formal written request will 
coordinate preparation of the request, the notice, motion papers, and 
sworn statement with the supporting staff judge advocate. These 
documents are required by statute; their preparation cannot be waived.
    (8) The supporting staff judge advocate is responsible for liaison 
with the

[[Page 19]]

proper United States Attorney and United States District Court. The 
requesting official will coordinate with the supporting staff judge 
advocate to determine whether the customer has filed a motion to prevent 
disclosure of the financial records within the prescribed time limits.
    (9) The head of the law enforcement office (Sec. 504.2(f)(2)(v)) 
will certify in writing (see app. C) to the financial institution that 
such office has complied with the requirements of 12 U.S.C. 3401 et 
seq.--
    (i) When a customer fails to file a challenge to access to financial 
records within the above time periods, or
    (ii) When a challenge is adjudicated in favor of the law enforcement 
office. No access to any financial records will be made before such 
certification is given.
    (g) Emergency access. Section 504.2(g)(2)(3) provides for emergency 
access in such cases of imminent danger. (No other procedures in this 
part apply to such emergency access.)
    (1) In some cases, the requesting law enforcement office may 
determine that a delay in obtaining access would create an imminent 
danger of--
    (i) Physical injury to a person,
    (ii) Serious property damage, or
    (iii) Flight to avoid prosecution.
    (2) When emergency access is made to financial records, the 
requesting official (Sec. 504.1(e)(2)) will--
    (i) Certify in writing (in a format similar to that in app. C) to 
the financial institution that the provisions of 12 U.S.C. 3401 et seq. 
have been complied with as a prerequisite to obtaining access.
    (ii) File with the proper court a signed, sworn statement setting 
forth the grounds for the emergency access within 5 days of obtaining 
access to financial records.
    (3) After filing of the signed, sworn statement, the official who 
has obtained access to financial records under this paragraph will as 
soon as practicable--
    (i) Personally serve or mail to the customer a copy of the request 
to the financial institution and the following notice, unless a delay of 
notice has been obtained under Sec. 504.2(i):

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

    (ii) Ensure that mailings under this section are by certified or 
registered mail to the last known address of the customer.
    (h) Release of information obtained from financial institutions--(1) 
Records notice. Financial records, to include derived information, 
obtained under 12 U.S.C. 3401 et seq. will be marked as follows:

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

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

    Copies of, or information contained in, your financial records 
lawfully in possession of the Department of the Army have been furnished 
to (state the receiving agency or

[[Page 20]]

department) pursuant to the Right to Financial Privacy Act of 1978 for 
(state the purpose). If you believe that this transfer has not been made 
to further a legitimate law enforcement inquiry, you may have legal 
rights under the Financial Privacy Act of 1978 or the Privacy Act of 
1974.

    (iii) If a request for release of information is from a Federal 
agency authorized to conduct foreign intelligence or foreign 
counterintelligence activities (Executive Order 12333) and is for 
purposes of conducting such activities by these agencies, the 
information will be released without notifying the customer, unless 
permission to provide notification is given in writing by the requesting 
agency.
    (iv) Financial information obtained before the effective date of the 
Financial Privacy Act of 1978 (March 10, 1979) may continue to be 
provided to other agencies according to existing procedures, to include 
applicable Privacy Act System Notices published in AR 340-21 series.
    (3) Precautionary measures. Whenever financial data obtained under 
this part is incorporated into a report of investigation or other 
correspondence, precautions must be taken to ensure that--
    (i) The report or correspondence is not distributed outside of DOD 
except in compliance with paragraph (h)(2)(ii)(B) of this section.
    (ii) The report or other correspondence contains the following 
warning restriction on the first page or cover:

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

    (i) Delay of customer notice procedures--(1) Length of delay. The 
customer notice required by formal written request (Sec. 504.2(f)(3)), 
emergency access (Sec. 504.2(g)(3)), and release of information (Sec.  
504.2(h)(2)(iii)) may be delayed for successive periods of 90 days. The 
notice required for search warrant (Sec. 504.2(d)(2)) may be delayed 
for one period of 180 days and successive periods of 90 days.
    (2) Conditions for delay. A delay of notice may only be made by an 
order of an appropriate court. This will be done when not granting a 
delay in serving the notice would result in--
    (i) Endangering the life or physical safety of any person.
    (ii) Flight from prosecution.
    (iii) Destruction of or tampering with evidence.
    (iv) Intimidation of potential witnesses.
    (v) Otherwise seriously jeopardizing an investigation or official 
proceeding or unduly delaying a trial or ongoing official proceeding to 
the same degree as the circumstances in Sec. 504.2(i)(2)(i) through 
(iv).
    (3) Coordination. When a delay of notice is appropriate, the law 
enforcement office involved will consult with the supporting staff judge 
advocate before attempting to obtain such a delay. Applications for 
delay of notice should contain reasonable detail.
    (4) After delay expiration. Upon the expiration of a delay of notice 
under above and required by--
    (i) Section 504.2(d)(2), the law enforcement office obtaining 
financial records will mail to the customer a copy of the search warrant 
and the following notice.

    Records or information concerning your transactions held by the 
financial institution named in the attached search warrant were obtained 
by this (agency or office) on (date). Notification was delayed beyond 
the statutory 180-day delay period pursuant to a determination by the 
court that such notice would seriously jeopardize an investigation 
concerning (state with reasonable detail). You may have rights under the 
Right to Financial Privacy Act of 1978.

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

    Records or information concerning your transactions which are held 
by the financial institution named in the attached process or request 
were supplied to or requested by the Government authority named in the 
process or request on (date). Notification was withheld pursuant to a 
determination by the (title of the court so ordering) under the Right to 
Financial Privacy Act of 1978 that

[[Page 21]]

such notice might (state reason). The purpose of the investigation or 
official proceeding was (state purpose with reasonable detail).

    (iii) Section 504.2(g)(3), the law enforcement office obtaining 
financial records will serve personally or mail to the customer a copy 
of the request and the notice required by Sec. 504.2(g)(3).
    (iv) Section 504.2(h)(2), the law enforcement office transferring 
financial records will serve personally or mail to the customer the 
notice required by Sec. 504.2(f)(3). If the law enforcement office was 
responsible for obtaining the court order authorizing the delay, such 
office shall also serve personally or by mail to the customer the notice 
required in Sec. 504.2(f)(3).
    (j) Foreign intelligence and foreign counterintelligence activities. 
(1) Except as indicated below, nothing in this regulation applies to 
requests for financial information in connection with authorized foreign 
intelligence and foreign counterintelligence activities as defined in 
Executive Order 12333. Appropriate foreign intelligence and 
counterintelligence directives should be consulted in these instances.
    (2) However, to comply with the Financial Privacy Act of 1978, the 
following guidance will be followed for such requests. When a request 
for financial records is made--
    (i) A military intelligence group commander, the chief of an 
investigative control office, or the Commanding General (CG) (or Deputy 
CG), U.S. Army Intelligence and Security Command, will certify to the 
financial institution that the requesting activity has complied with the 
provisions of 12 U.S.C. 3403(b).
    (ii) The requesting official will notify the financial institution 
from which records are sought that 12 U.S.C. 3414(a)(3) prohibits 
disclosure to any person by the institution, its agents, or employees 
that financial records have been sought or obtained.
    (k) Certification. A certificate of compliance with the Right to 
Financial Privacy Act of 1978 (app. C) will be provided to the financial 
institution as a prerequisite to obtaining access to financial records 
under the following access procedures:
    (1) Customer consent (Sec. 504.2(b)).
    (2) Search warrant (Sec. 504.2(d)).
    (3) Judicial subpoena (Sec. 504.2(e)).
    (4) Formal written request (Sec. 504.2(f)).
    (5) Emergency access (Sec. 504.2(g)).
    (6) Foreign intelligence and foreign counterintelligence activities 
(Sec. 504.2(j)).

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

(Official Letterhead)

 (Date)_________________________________________________________________

 Mr./Mrs. ----------____________________________________________________

Chief Teller (as appropriate), First National
Bank, Little Rock, AR 72203.

    Dear Mr./Mrs. ----------: In connection with a legitimate law 
enforcement inquiry and pursuant to section 3414 of the Right to 
Financial Privacy Act of 1978, section 3401 et seq., Title 12, United 
States Code, you are requested to provide the following account 
information: (name, address, account number, and type of account of any 
customer or ascertainable group of customers associated with a certain 
financial transaction or class of financial transactions as set forth in 
Sec. 504.1(f)).
    I hereby certify, pursuant to section 3403(b) of the Right to 
Financial Privacy Act of 1978, that the provisions of the Act have been 
complied with as to this request for account information.

 (Official Signature Block) ------______________________________________
    Under section 3417(c) of the Act, good faith reliance upon this 
certification relieves your institution and its employees and agents of 
any possible liability to the subject in connection with the disclosure 
of the requested financial records.

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

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

 Date:__________________________________________________________________

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

[[Page 22]]

Statement of Customer Rights Under the Right to Financial Privacy Act of 
          1978
    Federal law protects the privacy of your financial records. Before 
banks, savings and loan associations, credit unions, credit card 
issuers, or other financial institutions may give financial information 
about you to a Federal agency, certain procedures must be followed.

                      Consent to Financial Records

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

                          Without Your Consent

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

                               Exceptions

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

                         Transfer of Information

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

                                Penalties

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

                         Additional Information

    If you have any questions about your rights under this law, or about 
how to consent to release your financial records, please call the 
official whose name and telephone number appears below:

________________________________________________________________________

(Last Name, First Name, Middle Initial)

________________________________________________________________________

Title (Area Code) (Telephone Number)

________________________________________________________________________

(Component activity, address)

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

(Official Letterhead)
 Mr./Mrs._______________________________________________________________
Manager, Army Federal Credit Union, Fort Ord, CA 93941.

    Dear Mr./Mrs. ----------: I certify, pursuant to section 3403(b) of 
the Right to Financial Privacy Act of 1978, section 3401 et seq., Title 
12, United States Code, that the applicable provisions of that statute 
have been complied with as to the (customer's consent, search warrant or 
judicial subpoena, formal written request, emergency access, as 
applicable) presented on (date), for the following financial records of 
(customer's name):
________________________________________________________________________
(Describe the specific records)
 (Official Signature Block)_____________________________________________

    Pursuant to section 3417(c) of the Right to Financial Privacy Act of 
1978, good faith reliance upon this certificate relieves your 
institution and its employees and agents of any possible liability to 
the customer in connection with the disclosure of these financial 
records.

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

(Official Letterhead)

 (Date)_________________________________________________________________

 Mr./Mrs._______________________________________________________________

President (as appropriate), City National Bank and Trust Company, 
Altoona, PA 16602.

    Dear Mr./Mrs. ----------: In connection with a legitimate law 
enforcement inquiry and pursuant to section 3402(5) and section 3408 of 
the Right to Financial Privacy Act of 1978, section 3401 et seq., Title 
12, United

[[Page 23]]

States Code, and Army Regulation 190-6, you are requested to provide the 
following account information pertaining to (identify customer);
________________________________________________________________________

(Describe the specific records to be examined)

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

 (Official Signature Block)_____________________________________________

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

(Official Letterhead)

 (Date)_________________________________________________________________

 Mr./Ms.________________________________________________________________

1500 N. Main Street, Washington, DC 20314.

    Dear Mr./Ms. ----: Information or records concerning your 
transactions held by the financial institution named in the attached 
request are being sought by the (agency/department) in accordance with 
the Right to Financial Privacy Act of 1978, section 3401 et seq., Title 
12, United States Code, and Army Regulation 190-6, for the following 
purpose(s):
________________________________________________________________________

(List the purpose(s))

    If you desire that such records or information not be made 
available, you must do the following:
    a. Fill out the accompanying motion paper and sworn statement or 
write one of your own--
    (1) Stating that you are the customer whose records are being 
requested by the Government.
    (2) Giving the reasons you believe that the records are not relevant 
or any other legal basis for objecting to the release of the records.
    b. File the motion and statement by mailing or delivering them to 
the clerk of any one of the following United States District Courts:
________________________________________________________________________

(List applicable courts)

    c. Mail or deliver a copy of your motion and statement to the 
requesting authority: (give title and address).
    d. Be prepared to come to court and present your position in further 
detail.
    You do not need to have a lawyer, although you may wish to employ 
one to represent you and protect your rights.
    If you do not follow the above procedures, upon the expiration of 
(10 days from the date of personal service) (14 days from the date of 
mailing) of this notice, the records or information requested therein 
may be made available.
    These records may be transferred to other Government authorities for 
legitimate law enforcement inquiries, in which event you will be 
notified after the transfer if such transfer is made.

3 Enclosures (see para ----)
 (Signature)____________________________________________________________



PART 505_THE ARMY PRIVACY PROGRAM--Table of Contents




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

Appendix A to Part 505--Example of System of Records Notice
Appendix B to Part 505--Example of Report for New System of Records
Appendix C to Part 505--Provisions of the Privacy Act From Which a 
          General or Specific Exemption May Be Claimed
Appendix D to Part 505--Glossary of Terms

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

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



Sec. 505.1  General information.

    (a) Purpose. This regulation sets forth policies and procedures that 
govern personal information kept by the Department of the Army in 
systems of records.
    (b) References--(1) Required publications. (i) AR 195-2, Criminal 
Investigation Activities. (Cited in Sec. 505.2(j))

[[Page 24]]

    (ii) AR 340-17, Release of Information and Records from Army Files. 
(Cited in Sec. Sec. 505.2(h) and 505.4(d))
    (iii) AR 430-21-8, The Army Privacy Program; System Notices and 
Exemption Rules for Civilian Personnel Functions. (Cited in Sec. 
505.2(i))
    (iv) AR 380-380, Automated System Security. (Cited in Sec. 505.4(d) 
and (f))
    (2) Related publications. (A related publication is merely a source 
of additional information. The user does not have to read it to 
understand this regulation.)
    (i) DOD Directive 5400.11, DOD Privacy Program.
    (ii) DOD Regulation 5400.11-R, DOD Privacy Program.
    (iii) Treasury Fiscal Requirements Manual. This publication can be 
obtained from The Treasury Department, 15th and Pennsylvania Ave., NW, 
Washington, DC 20220
    (c) Explanation of abbreviations and terms. Abbreviations and 
special terms used in this regulation are explained in the glossary.
    (d) Responsibilities. (1) The Director of Information Systems for 
Command, Control, Communications, and Computers (DISC4) is responsible 
for issuing policy and guidance for the Army Privacy Program in 
consultation with the Army General Counsel.
    (2) The Commander, U.S. Army Information Systems Command is 
responsible for developing policy for and executing the Privacy Act 
Program under the policy and guidance of the DISC4.
    (3) Heads of Joint Service agencies or commands for which the Army 
is the Executive Agent, or otherwise has responsibility for providing 
fiscal, logistical, or administrative support, will adhere to the 
policies and procedures in this regulation.
    (4) Commander, Army and Air Force Exchange Service (AAFES), is 
responsible for the supervision and execution of the privacy program 
within that command pursuant to this regulation.
    (e) Policy. Army Policy concerning the privacy rights of individuals 
and the Army's responsibilities for compliance with operational 
requirements established by the Privacy Act are as follows:
    (1) Protect, as required by the Privacy Act of 1974 (5 U.S.C. 552a), 
as amended, the privacy of individuals from unwarranted intrusion. 
Individuals covered by this protection are living citizens of the United 
States and aliens lawfully admitted for permanent residence.
    (2) Collect only the personal information about an individual that 
is legally authorized and necessary to support Army operations. Disclose 
this information only as authorized by the Privacy Act and this 
regulation.
    (3) Keep only personal information that is timely, accurate, 
complete, and relevant to the purpose for which it was collected.
    (4) Safeguard personal information to prevent unauthorized use, 
access, disclosure, alteration, or destruction.
    (5) Let individuals know what records the Army keeps on them and let 
them review or get copies of these records, subject to exemptions 
authorized by law and approved by the Secretary of the Army. (See Sec. 
505.5.)
    (6) Permit individuals to amend records about themselves contained 
in Army systems of records, which they can prove are factually in error, 
not up-to-date, not complete, or not relevant.
    (7) Allow individuals to ask for an administrative review or 
decisions that deny them access to or the right to amend their records.
    (8) Maintain only information about an individual that is relevant 
and necessary for Army purposes required to be accomplished by statute 
or Executive Order.
    (9) Act on all requests promptly, accurately, and fairly.
    (f) Authority. The Privacy Act of 1974 (5 U.S.C. 552a), as amended, 
is the statutory basis for the Army Privacy Program. With in the 
Department of Defense, the Act is implemented by DOD Directive 5400.11 
and DOD 5400.11-R. The Act Assigns--
    (1) Overall Government-wide responsibilities for implementation to 
the Office of Management and Budget.
    (2) Specific responsibilities to the Office of Personnel Management 
and the General Services Administration.
    (g) Access and Amendment Refusal Authority (AARA). Each Access and 
Amendment Refusal Authority (AARA) is responsible for action on requests 
for

[[Page 25]]

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

[[Page 26]]

Personnel Management, Assistant Director for Workforce Information, 
Compliance and Investigations Group, 1900 E Street, NW., Washington, DC 
20415-0001.
    (15) Commander, U.S. Army Community and Family Support Center 
(USACFSC) for records relating to morale, welfare and recreation 
activities; community life programs; family action programs, retired 
activities, club management, Army emergency relief, consumer protection, 
retiree survival benefits, and records dealing with Department of the 
Army relationships and social security veteran's affairs, United Service 
Organizations, U.S. Soldiers' and Airmen's home and American Red Cross.
    (16) Commander, U.S. Army Intelligence and Security Command (INSCOM) 
for intelligence, investigative and security records; foreign scientific 
and technological information; intelligence training, mapping and 
geodesy information; ground surveillance records; intelligence threat 
assessments; and missile intelligence data relating to tactical land 
warfare systems.
    (17) Commander, Army and Air Force Exchange Service (AAFES) for 
records pertaining to employees, patrons, and other matters which are 
the responsibility of the Exchange Service.
    (18) Commander, Military Traffic Management Command (MTMC) for 
transportation records.
    (19) Director of Army Safety for safety records.
    (20) Commander, U.S. Army Information Systems Command (USAISC) for 
records which do not fall within the functional area of another AARA.
    (h) Department of the Army Privacy Review Board. The Department of 
the Army Privacy Review Board acts on behalf of the Secretary of the 
Army in deciding appeals from refusal of the appropriate AARAs to amend 
records. Board membership is comprised of the AASA, the Commander, 
USAISC, Pentagon, and TJAG, or their representatives. The AARA may serve 
as a nonvoting member when the Board considers matters in the AARA's 
area of functional specialization. The Commander, USAISC, Pentagon, 
chairs the Board and provides the recording secretary.
    (i) Privacy Official. (1) Heads of Army Staff agencies and 
commanders of major Army commands and subordinate commands and 
activities will designate a privacy official who will serve as a staff 
adviser on privacy matters. This function will not be assigned below 
battalion level.
    (2) The privacy official will ensure that (i) requests are processed 
promptly and responsively, (ii) records subject to the Privacy Act in 
his/her command/agency are described properly by a published system 
notice, (iii) privacy statements are included on forms and 
questionnaires that seek personnel information from an individual, and 
(iv) procedures are in place to meet reporting requirements.

[50 FR 42164, Oct. 18, 1985, as amended at 58 FR 51012, Sept. 30, 1993]



Sec. 505.2  Individual rights of access and amendment.

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

[[Page 27]]

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

[[Page 28]]

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

[[Page 29]]

will complete action on a request for further review within 30 work days 
of its receipt by the AARA. The General Counsel may authorize an 
additional 30 days when unusual circumstances and good cause so warrant. 
The Board may seek additional information, including the appellant's 
official file, if deemed relevant and necessary to deciding the appeal.
    (i) If the Board determines that amendment is justified, it will 
amend the record and notify the requester, the AARA, the custodian of 
the record, and any prior recipients of the record.
    (ii) If the Board denies the request, it will obtain the General 
Counsel's concurrence. Response to the appellant will include reasons 
for denial and the appellant's right to file a statement of disagreement 
with the Board's action and to seek judicial review of the Army's 
refusal to amend.
    (9) Statements of disagreement will be an integral part of the 
record to which it pertains so the fact that the record is disputed is 
apparent to anyone who may have access to, use of, or need to disclose 
from it. The disclosing authority may include a brief summary of the 
Board's reasons for not amending the disputed record. The summary will 
be limited to the reasons stated to the individual by the Board.
    (l) Privacy case files. Whenever an individual submits a Privacy Act 
request, a case file will be established; see system notice 
AO240.01DAAG. In no instance will the individual's request and Army 
actions thereon be included in the individual's personnel file. The case 
file will comprise the request for access/amendment, grants, refusals, 
coordination action, and related papers. This file will not be used to 
make any determinations about the individuals.



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

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

[[Page 30]]

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

[[Page 31]]

carry out its legally authorized government-wide personnel management 
functions and studies.
    (9) Disclosure to National Archives and Records Administration. A 
record may be disclosed to the National Archives and Records 
Administration in records management inspections conducted under 
authority of title 44 U.S.C., sections 2904 and 2906.
    (10) Disclosure to the Department of Justice for Litigation. A 
record may be disclosed as a routine use to any component of the 
Department of Justice, when--
    (i) The agency, or any component there of, or
    (ii) Any employee of the agency in his or her official capacity, or
    (iii) Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee, or
    (iv) The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed by the agency to be 
relevant and necessary to the litigation, provided, however, that in 
each case, the agency determines that disclosure of the records to the 
Department of Justice is a use of the information contained in the 
records that is compatible with the purpose for which it is collected.
    (11) Disclosure for Agency use in Litigation. A record may be 
disclosed in a proceeding before a court or adjudicative body before 
which the agency is authorized to appear, when--
    (i) The agency, or any component there of, or
    (ii) Any employee of the agency in his or her official capacity, or
    (iii) Any employee of the agency in his or her official capacity 
where the Department of Justice has agreed to represent the employee, or
    (iv) The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the agency 
determines that their use of such records is relevant and necessary to 
the litigation, provided; however, that in each case, the agency 
determines that disclosure of the records to the court or adjudicative 
body is a use of the information contained in the records that is 
compatible with the purpose for which it is collected.
    (c) Disclosure to third parties. Personal information which may be 
disclosed under the Freedom of Information Act:
    (1) On military personnel: Name, rank, date of rank, gross salary, 
present and past duty assignments, future assignments that are 
officially established, office or duty telephone number, source of 
commission, promotion sequence number, awards and decorations, military 
and civilian educational level, duty status at any given time.
    (2) On civilian employees: Name, present and past position titles, 
grades, salaries, duty stations that include office or duty telephone 
numbers. However, disclosure of this information will not be made where 
the information requested is a list of present or past position titles, 
grades, salaries, and/or duty stations and, as such, is:
    (i) Selected to constitute a clearly unwarranted invasion of 
personal privacy. For example, the nature of the request calls for a 
response that would reveal more about the employee than the five 
enumerated items;
    (ii) Would be protected from mandatory disclosure under an exemption 
of the Freedom of Information Act.
    (iii) In addition to the information in Sec. 505.3(c)(2) above, the 
following information may be made available to a prospective employer of 
a current or former Army employee: Tenure of employment, civil service 
status, length of service in the Army and the Government and, date and 
reason for separation shown on the Notification of Personnel Action, SF 
50.
    (d) Accounting of disclosure. (1) An accounting of disclosure is 
required whenever a record from an Army system of records is disclosed 
to someone other than the data subject, except when that record:
    (i) Is disclosed to officials within the Department of Defense who 
have a need for it in the performance of official business;
    (ii) Is required to be disclosed under the Freedom of Information 
Act.

[[Page 32]]

    (2) Since the characteristics of records maintained within the Army 
vary widely, no uniform method for keeping the disclosure of accounting 
is prescribed. For most paper records, the accounting may be affixed to 
the record being disclosed. It must be a written record and consist of:
    (i) Description of the record disclosed;
    (ii) Name, position title, and address of the person to whom 
disclosure was made;
    (iii) Date, method, and purpose of the disclosure; and
    (iv) Name and position title of the person making the disclosure.
    (3) Purpose of the accounting of disclosure is to enable an 
individual:
    (i) To ascertain those persons/agencies that have received 
information about the individual, and
    (ii) To provide a basis for informing recipients of subsequent 
amendments or statements of dispute concerning the record.
    (4) When an individual requests such an accounting, the system 
manager or designee shall respond within 10 work days and inform the 
individual of the items in Sec. 505.3(d)(2) above.
    (5) The only basis for not furnishing the data subject an accounting 
of disclosures are if disclosure was made for law enforcement purposes 
under 5 U.S.C. 552a(b)(7), or the disclosure was from a system of 
records for which an exemption from 5 U.S.C. 552a(c)(3) has been claimed 
(see appendix C to this part).

[50 FR 42164, Oct. 18, 1985, as amended at 58 FR 51013, Sept. 30, 1993]



Sec. 505.4  Recordkeeping requirements under the Privacy Act.

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

[[Page 33]]

subject, that authorizes the Army to collect the personal information 
requested. Inform the individual whether or not a response is mandatory 
or voluntary, and any possible consequences of failing to respond.
    (2) Cite the principal purpose(s) for which the information will be 
used; and
    (3) Cite the probable routine uses for which the information may be 
used.

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

[[Page 34]]

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



Sec. 505.5  Exemptions.

    (a) Exempting systems of records. The Secretary of the Army may 
exempt Army systems of records from certain

[[Page 35]]

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

[[Page 36]]

    (ii) Exemptions: (A) 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 such 
information, the individual will be provided access to such information 
except to the extent that disclosure would reveal the identity of a 
confidential source.
    (B) Investigatory 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 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), (d), (e)(1), (e)(4)(G), (e)(4)(H), and 
(e)(4)(I), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iv) Reason: (A) 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.
    (B) 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.
    (C) From subsection (e)(1) because in the course of criminal 
investigations information is often obtained concerning the violations 
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 valuable information is retained since it can aid in 
establishing patterns of activity and provide valuable leads for other 
agencies and future cases that may be brought.
    (D) From subsections (e)(4)(G) and (e)(4)(H) because this system of 
records is exempt from individual access pursuant to subsection (k)(2) 
of the Privacy Act of 1974.
    (E) From subsection (e)(4)(I) because of 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.
    (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 Army will grant access to nonexempt material 
in the records being maintained. Disclosure will be governed by the 
Department of the Army'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 this 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 in this paragraph. The decisions to release 
information from these systems will be made on a case-by-case basis.
    (2) [Reserved]
    (3) A0025-55 TAPC.
    (i) System name: Freedom of Information Act Program Files.
    (ii) Exemption: During the processing of Freedom of Information Act 
(FOIA) requests exempt materials from other systems of records may in 
turn become part of the case record in this system. To the extent that 
copies of exempt records from those ``other'' systems of

[[Page 37]]

records are entered into this system, the Department of the Army claims 
the same exemptions for the records from those ``other'' systems that 
are entered into this system, as claimed for the original primary system 
of which they are a part.
    (iii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3), 
(k)(4), (k)(5), (k)(6), and (k)(7).
    (iv) Reasons: Records are only exempt from pertinent provisions of 5 
U.S.C. 552a to the extent such provisions have been identified and an 
exemption claimed for the original record and the purposes underlying 
the exemption for the original record still pertain to the record which 
is now contained in this system of records. In general, the exemptions 
were claimed in order to protect properly classified information 
relating to national defense and foreign policy, to avoid interference 
during the conduct of criminal, civil, or administrative actions or 
investigations, to ensure protective services provided the President and 
others are not compromised, to protect the identity of confidential 
sources incident to Federal employment, military service, contract, and 
security clearance determinations, to preserve the confidentiality and 
integrity of Federal testing materials, and to safeguard evaluation 
materials used for military promotions when furnished by a confidential 
source. The exemption rule for the original records will identify the 
specific reasons why the records are exempt from specific provisions of 
5 U.S.C. 552a.
    (4)A0027-1DAJA.
    (i) System name: General Legal Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and 
(k)(7) may be exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), 
(e)(1), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and 
(k)(7).
    (iv) Reasons: Various records from other exempted systems of records 
are sometimes submitted for legal review or other action. A copy of such 
records may be permanently incorporated into the General Legal Files 
system of records as evidence of the facts upon which a legal opinion or 
review was based. Exemption of the General Legal Files system of records 
is necessary in order to ensure that such records continue to receive 
the same protection afforded them by exemptions granted to the systems 
of records in which they were originally filed.
    (5) System identifier: A0027-10a DAJA
    (i) System name: Prosecutorial Files.
    (ii) Exemptions: 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. Therefore, 
portions of the system of records may be exempt pursuant to 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).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reason: (A) 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.
    (B) From subsection (c)(4) because an exemption is being claimed for 
subsection (d), this subsection will not be applicable.
    (C) 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.
    (D) 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 valuable 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.

[[Page 38]]

    (E) 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.
    (F) 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.
    (G) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsection (j)(2) 
of the Privacy Act of 1974.
    (H) 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.
    (I) 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 reporting on investigations and impede the development of 
intelligence necessary for effective law enforcement.
    (J) 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.
    (K) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (L) 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).
    (M) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Army will grant access to nonexempt material 
in the records being maintained. Disclosure will be governed by the 
Department of the Army's Privacy Regulation (this part 505), 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 this 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 in this paragraph. The decisions to release 
information from these systems will be made on a case-by-case basis.
    (6) System identifier: A0027-10b DAJA
    (i) System name: Courts-Martial Records and Reviews.
    (ii) Exemptions: 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. Therefore, 
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).
    (iii) Authority: 5 U.S.C. 552a(j)(2).

[[Page 39]]

    (iv) Reason: (A) 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.
    (B) From subsection (c)(4) because an exemption is being claimed for 
subsection (d), this subsection will not be applicable.
    (C) 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.
    (D) 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.
    (E) 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.
    (F) 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.
    (G) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsection (j)(2) 
of the Privacy Act of 1974.
    (H) 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.
    (I) 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.
    (J) 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.
    (K) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (L) 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).
    (M) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Army will grant access to nonexempt material 
in the records being maintained. Disclosure will be governed by the 
Department of the Army's Privacy Regulation (this part 505), but will be 
limited to the extent that the identity of confidential

[[Page 40]]

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

[[Page 41]]

related to an investigation. Exemption from access necessarily includes 
exemption from other requirements.
    (B) From subsection (c)(3) because the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, the requirement that information be collected 
to the greatest extent practicable from the subject individual would 
alert the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and by revealing investigative 
techniques, procedures or evidence.
    (9) A0190-14DAMO.
    (i) System name: Registration and Permit Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3).
    (iii) Authority: 5 U.S.C. 552a(k)(2).
    (iv) Reasons: From subsection (c)(3) because the release of 
accounting of disclosures would place the subject of an investigation on 
notice that he or she is under investigation and provide him or her with 
significant information concerning the nature of the investigation thus 
resulting in a serious impediment to criminal law enforcement 
investigations, activities or the compromise of properly classified 
material.
    (10) A0190-30DAMO.
    (i) System name: Military Police Investigator Certification Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2), (k)(5), and (k)(7) may be 
exempt from the provisions of 5 U.S.C. 552a(d), (e)(4)(G), (e)(4)(H), 
and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2), (k)(5) and (k)(7).
    (iv) Reasons: From subsections (d), (e)(4)(G), (e)(4)(H), and (f) 
because disclosure of portions of the information in this system of 
records would seriously impair selection and management of these 
uniquely functioning individuals; hamper the inclusion of comments, 
reports and evaluations concerning the performance, qualifications, 
character, actions, and propensities of the agency; and prematurely 
compromise investigations which either concern the conduct of the agent 
himself or herself, or investigations wherein he or she is integrally or 
only peripherally involved. Additionally, the exemption from access 
necessarily includes exemptions from the amendment and the agency 
procedures that would otherwise be required to process these types of 
requests.
    (11) A0190-40DAMO.
    (i) System name: Serious Incident Reporting Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges, and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual

[[Page 42]]

investigative techniques, sources, and methods used by this component, 
and could result in the invasion of the privacy of individuals only 
incidentally related to an investigation. Exemption from access 
necessarily includes exemption from the other requirements.
    (B) From subsection (c)(3) because of the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, they require that information be collected to 
the greatest extent practicable from the subject individual would alert 
the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and be revealing investigative 
techniques, procedures or evidence.
    (12) System identifier: A0190-45 DAMO
    (i) System name: Offense Reporting System (ORS)
    (ii) Exemptions: 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. Therefore, 
portions of the system of records may be exempt pursuant to 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).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reason: (A) 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.
    (B) From subsection (c)(4) because an exemption is being claimed for 
subsection (d), this subsection will not be applicable.
    (C) 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.
    (D) 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 valuable 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.
    (E) 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.
    (F) 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.
    (G) From subsections (e)(4)(G) and (H) because this system of 
records is

[[Page 43]]

exempt from individual access pursuant to subsection (j)(2) of the 
Privacy Act of 1974.
    (H) 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.
    (I) 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 reporting on investigations and impede the development of 
intelligence necessary for effective law enforcement.
    (J) 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.
    (K) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (L) 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).
    (M) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Army will grant access to nonexempt material 
in the records being maintained. Disclosure will be governed by the 
Department of the Army'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.
    (13) System identifier: A0190-47 DAMO.
    (i) System name: Correctional Reporting System (CRS).
    (ii) 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. All portions of 
this system of records which fall within the scope of 5 U.S.C. 
552a(j)(2) may be exempt from the provisions of 5 U.S.C. 552a(c)(3), 
(c)(4), (d), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), 
(f), and (g).
    Consistent with the legislative purpose of the Privacy Act of 1974, 
the Department of the Army will grant access to nonexempt material in 
the records being maintained. Disclosure will be governed by the 
Department of the Army'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

[[Page 44]]

necessary for effective law enforcement.
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(3) because the release of the 
disclosure accounting, or 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.
    (B) From subsection (c)(4) because an exemption is being claimed for 
subsection (d), this subsection will not be applicable.
    (C) 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.
    (D) From 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.
    (E) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsections (j)(2) 
of the Privacy Act of 1974.
    (F) 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.
    (G) 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 reporting on investigations and impede the development of 
intelligence necessary for effective law enforcement.
    (H) 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.
    (I) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (J) From subsection (g) because this system of records compiled for 
lawenforcement purposes and has been exempted from the access provisions 
of subsections (d) and (f).
    (14) A0195-2aUSACIDC.
    (i) System name: Source Register.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(5), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(3) because release of 
accounting of disclosures would provide the informant with significant 
information concerning the nature of a particular investigation, the 
internal methods and techniques involved in criminal investigation, and 
the investigative agencies (state, local or foreign) involved in a 
particular case resulting in a serious compromise of the criminal law 
enforcement processes.
    (B) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) 
because disclosure of portions of the information in this system of 
records would seriously impair the prudent and efficient handling of 
these uniquely functioning individuals; hamper the inclusion of comments 
and evaluations concerning the performance qualification, character, 
identity, and propensities of the informant; and prematurely compromise 
criminal investigations which

[[Page 45]]

either concern the conduct of the informant himself or investigations 
wherein he/she is intergrally or only peripherally involved. 
Additionally, the exemption from access necessarily includes exemption 
from amendment, certain agency requirements relating to access and 
amendment of records and civil liability predicated upon agency 
compliance with specific provisions of the Privacy Act.
    (C) From subsection (d), (e)(4)(G), (e)(4)(H), and (f) are also 
necessary to protect the security of information properly classified in 
the interest of national defense and foreign policy.
    (D) From subsection (e)(1) because the nature of the criminal 
investigative function creates unique problems in prescribing what 
information concerning informants is relevant or necessary. Due to close 
liaison and existing relationships with other Federal, state, local and 
foreign law enforcement agencies, information about informants may be 
received which may relate to a case then under the investigative 
jurisdiction of another Government agency but it is necessary to 
maintain this information in order to provide leads for appropriate law 
enforcement purposes and to establish patterns of activity which may 
relate to the jurisdiction of both the USACIDC and other agencies. 
Additionally, the failure to maintain all known information about 
informants could affect the effective utilization of the individual and 
substantially increase the operational hazards incumbent in the 
employment of an informant in very compromising and sensitive 
situations.
    (E) From subsection (e)(2) because collecting information from the 
information would potentially thwart both the crminal investigtive 
process and the required management control over these individuals by 
appraising the informant of investigations or management actions 
concerning his involvement in criminal activity or with USACIDC 
personnel.
    (F) From subsection (e)(3) because supplying an informant with a 
form containing the information specified could result in the compromise 
of an investigation, tend to inhibit the cooperation of the informant, 
and render ineffectual investigative techniques and methods utilized by 
USACIDC in the performance of its criminal law enforcement duties.
    (G) From subsection (e)(5) because this requirement would unduly 
hamper the criminal investigative process due to type of records 
maintained and necessity for rapid information retrieval and 
dissemination. Also, in the collection of information about informants, 
it is impossible to determine what information is then accurate, 
relevant, timely and complete. With the passage of time, seemingly 
irrevelant or untimely information may acquire new significance as 
further investigation or contact brings new details to light. In the 
criminal investigative process, accuracy and relevance of information 
concerning informants can only be determined in a court of law. The 
restrictions imposed by subsection (e)(5) would restrict the ability of 
trained investigators to exercise their judgment in reporting 
information relating to informant's actions and would impede the 
development of criminal intelligence necessary for effective law 
enforcement.
    (H) From subsection (e)(8) because the notice requirements of this 
provision could present a serious impediment to criminal law enforcement 
by revealing investigative techniques, procedures, and the existence of 
confidential investigations.
    (15)A0195-2bUSACIDC.
    (i) System name: Criminal Investigation and Crime Laboratory Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552(j)(2).
    (iv) Reasons: (A) From subsection (c)(3) because the release of 
accounting of disclosures would place the subject of an investigation on 
notice that he is under investigation and provide him with significant 
information concerning coordinated investigative effort and techniques 
and the nature of the investigation, resulting in a serious

[[Page 46]]

impediment to criminal law enforcement activities or the compromise of 
properly classified material.
    (B) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) 
because access might compromise on-going investigations, reveal 
classified information, investigatory techniques or the identity of 
confidential informants, or invade the privacy of persons who provide 
information in connection with a particular investigation. The exemption 
from access necessarily includes exemption from amendment, certain 
agency requirements relating to access and amendment of records, and 
civil liability predicated upon agency compliance with those specific 
provisions of the Privacy Act. The exemption from access necessarily 
includes exemption from other requirements.
    (C) From subsection (e)(1) because the nature of the investigative 
function creates unique problems in prescribed specific perimeters in a 
particular case as to what information is relevant or necessary. Also, 
due to close liaisons and working relationships with other Federal, 
state, local, and foreign law enforcement agencies, information may be 
received which may relate to a case then under the investigative 
jurisdiction of another Government agency but it is necessary to 
maintain this information in order to provide leads for appropriate law 
enforcement purposes and to establish patterns of activity which may 
relate to the jurisdiction of both the USACIDC and other agencies.
    (D) From subsection (e)(2) because collecting information from the 
subject of criminal investigations would thwart the investigative 
process by placing the subject of the investigation on notice thereof.
    (E) From subsection (e)(3) because supplying an individual with a 
form containing the information specified could result in the compromise 
of an investigation, tend to inhibit the cooperation of the individual 
queried, and render ineffectual investigation techniques and methods 
utilized by USACIDC in the performance of their criminal law enforcement 
duties.
    (F) From subsection (e)(5) because this requirment would unduly 
hamper the criminal investigative process due to the great volume of 
records maintained and the necessity for rapid information retrieval and 
dissemination. Also, in the collection of information for law 
enforcement purposes, it is impossible to determine what information is 
then accurate, relevant, timely, and complete. With the passage of time, 
seemingly irrelevant or untimely information may acquire new 
significance as further investigation brings new details to light. In 
the criminal investigation process, accuracy and relevance of 
information can only be determine in a court of law. The restrictions 
imposed by subsection (e)(5) would restrict the ability of trained 
investigators to exercise their judgment in reporting on investigations 
and impede the development of criminal intelligence necessary for 
effective law enforcement.
    (G) From subsection (e)(8) because the notice requirements of this 
provision could present a serious impediment to criminal law enforcement 
by revealing investigative techniques, procedures, and the existence of 
confidential investigations.
    (16) A0195-6USACIDC.
    (i) System name: Criminal Investigation Accreditation and Polygraph 
Examiner Evaluation Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2), (k)(5), or (k)(7) may be exempt 
from the provisions of 5 U.S.C. 552a(d), (e)(1), (e)(4)(G), (e)(4)(H), 
and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2), (k)(5), and (k)(7).
    (iv) Reasons: (A) From subsections (d), (e)(4)(G), (e)(4)(H), and 
(f) because disclosure of portions of the information in this system of 
records would seriously impair the selection and management of these 
uniquely functioning individuals; hamper the inclusion of comments, 
reports and evaluations concerning the performance, qualifications, 
character, action and propensities of the agent; and prematurely 
compromise investigations with either concern the conduct of the agent 
himself or investigations wherein he or she is integrally or only 
peripherally involved. Additionally, the exemption from access 
necessarily includes exemptions from the amendment and the

[[Page 47]]

agency procedures which would otherwise be required to process these 
types of requests.
    (B) From subsection (e)(1) because the failure to maintain all known 
information about agents could affect the effective utilization of the 
individual and substantially increase the operational hazards incumbent 
in the employment of agents in very compromising and sensitive 
situations.
    (17) A0210-7DAMO.
    (i) System name: Expelled or Barred Person Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges, and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources, and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption 
from access necessarily includes exemption from the other requirements.
    (B) From subsection (c)(3) because of the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, they require that information be collected to 
the greatest extent practicable from the subject individual would alert 
the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and be revealing investigative 
techniques, procedures or evidence.
    (18) System identifier: A0025 JDIM
    (i) System name: HQDA Correspondence and Control/Central Files 
System.
    (ii) Exemptions: Documents within this system of records are 
generated by other elements of the Department of the Army or are 
received from other agencies and individuals. Because of the broad scope 
of the contents of this system of records, and since the introduction of 
documents is largely unregulatable, specific portions or documents that 
may require an exemption can not be predetermined. Therefore, and to the 
extent that such material is received and maintained, selected 
individual documents may be exempt.
    (A) Information specifically authorized to be classified under E.O. 
12958, as implemented by DoD 5200.1-R, may be exempt pursuant to 5 
U.S.C. 552a(k)(1).
    (B) 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 such information, the individual will be 
provided access to such information except to the extent that disclosure 
would reveal the identity of a confidential source.
    (C) Records maintained in connection with providing protective 
services to the President and other individuals under 18 U.S.C. 3506, 
may be exempt pursuant to 5 U.S.C. 552a(k)(3).

[[Page 48]]

    (D) Records maintained solely for statistical research or program 
evaluation purposes and which are not used to make decisions on the 
rights, benefits, or entitlement of an individual except for census 
records which may be disclosed under 13 U.S.C. 8, may be exempt pursuant 
to 5 U.S.C. 552a(k)(4).
    (E) Investigatory 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 material would reveal the identity of a 
confidential source.
    (F) Testing or examination material used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service may be exempt pursuant to 5 U.S.C. 552a(k)(6), if the disclosure 
would compromise the objectivity or fairness of the test or examination 
process.
    (G) Evaluation material used to determine potential for promotion in 
the Military Services may be exempt pursuant to 5 U.S.C. 552a(k)(7), but 
only to the extent that the disclosure of such material would reveal the 
identity of a confidential source.
    (H) Portions of this system of records may be exempt pursuant to 5 
U.S.C. 552a (k)(1) through (k)(7) from subsections (c)(3), (d), (e)(1), 
(e)(4)(G) and (H), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1) through (k)(7).
    (iv) Reasons: (A) From subsection (c)(3) because the release of the 
disclosure accounting could alert the subject of an investigation of an 
actual or potential criminal, civil, or regulatory violation to the 
existence of the investigation and the fact that they are subjects of 
the investigation. It could permit the subject of an investigation or 
matter under investigation to obtain valuable information concerning the 
nature of that investigation which will present a serious impediment to 
law enforcement.
    (B) 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 
of apprehension, and would present a serious impediment to law 
enforcement.
    (C) 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 active case or 
matter. In the interest 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.
    (D) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsections (k)(2) 
of the Privacy Act of 1974.
    (E) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (19) System identifier: A0340-21 TAPC
    (i) System name: Privacy Case Files.
    (ii) Exemption: During the processing of a Privacy Act request 
(which may include access requests, amendment requests, and requests for 
review for initial denials of such requests), exempt materials from 
other systems of records may in turn become part of the case record in 
this system. To the extent that copies of exempt records from those 
`other' systems of records are entered into this system, the Department 
of the Army hereby claims the same exemptions for the records from those 
`other' systems that are entered into this system, as claimed for the 
original primary system of which they are a part.
    (iii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3), 
(k)(4), (k)(5), (k)(6), and (k)(7).
    (iv) Records are only exempt from pertinent provisions of 5 U.S.C. 
552a to the extent such provisions have been identified and an exemption 
claimed for the original record and the purposes underlying the 
exemption for the original record still pertain to the record which is 
now contained in this system of records. In general, the exemptions were 
claimed in order to protect properly classified information relating to

[[Page 49]]

national defense and foreign policy, to avoid interference during the 
conduct of criminal, civil, or administrative actions or investigations, 
to ensure protective services provided the President and others are not 
compromised, to protect the identity of confidential sources incident to 
Federal employment, military service, contract, and security clearance 
determinations, and to preserve the confidentiality and integrity of 
Federal evaluation materials. The exemption rule for the original 
records will identify the specific reasons why the records are exempt 
from specific provisions of 5 U.S.C. 552a.
    (20) System identifier and name: A0195-2c USACIDC DoD, DoD Criminal 
Investigation Task Force (CITF) Files.
    (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. 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 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-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 that 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

[[Page 50]]

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.
    (K) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Army will grant access to nonexempt material 
in the records being maintained. Disclosure will be governed by the 
Department of the Army'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 
necessary for effective law enforcement.
    (21) A0351-12DAPE.
    (i) System name: Applicants/Students, U.S. Military Academy Prep 
School.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) and (k)(7) may be exempt from 
the following provision of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5) and (k)(7).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluation material on individuals, furnished to the US Military Academy 
Preparatory School under an express promise of confidentiality, be 
maintained to ensure the candid presentation of information necessary in 
determinations involving admission to or retention at the United States 
Military Academy and suitability for commissioned military service.
    (22) A0351-17aUSMA.
    (i) System name: U.S. Military Academy Candidate Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5), (k)(6), or (k)(7) may be exempt 
from the provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5), (k)(6) and (k)(7).
    (iv) Reasons: (A) From subsection (d) because access might reveal 
investigatory and testing techniques. The exemption from access 
necessarily includes exemption from amendment, certain agency 
requirements relating to access and amendment of records, and civil 
liability predicated upon agency compliance with those specific 
provisions of the Privacy Act.
    (B) Exemption is necessary to protect the identity of individuals 
who furnished information to the United States Military Academy which is 
used in determining suitability, eligibility, or qualifications for 
military service and which was provided under an express promise of 
confidentiality.
    (C) Exemption is needed for the portion of records compiled within 
the Academy which pertain to testing or examination material used to 
rate individual qualifications, the disclosure of which would compromise 
the objectivity or fairness of the testing or examination process.
    (D) Exemption is required for evaluation material used by the 
Academy in determining potential for promotion in the Armed Services, to 
protect the identity of a source who furnished information to the 
Academy under an express promise of confidentiality.
    (23) A0351-17bUSMA.
    (i) System name: U.S. Military Academy Personnel Cadet Records.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) or (k)(7)

[[Page 51]]

may be exempt from the provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5) and (k)(7).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluation and investigatory material on candidates, cadets, and 
graduates, furnished to the United States Military Academy under promise 
of confidentiality be maintained to insure the candid presentation of 
information necessary in determinations involving admissions to the 
Military Academy and suitability for commissioned service and future 
promotion.
    (24) A0380-13DAMO.
    (i) System name: Local Criminal Intelligence Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsections (e)(4)(G), (e)(4)(H), (f), and 
(g) because granting individuals access to information collected and 
maintained by this component relating to the enforcement of laws could 
interfere with proper investigations and the orderly administration of 
justice. Disclosure of this information could result in the concealment, 
alteration or destruction of evidence, the identification of offenders 
or alleged offenders, nature and disposition of charges; and jeopardize 
the safety and well-being of informants, witnesses and their families, 
and law enforcement personnel and their families. Disclosure of this 
information could also reveal and render ineffectual investigative 
techniques, sources and methods used by this component and could result 
in the invasion of the privacy of individuals only incidentally related 
to an investigation. Exemption from access necessarily includes 
exemption from the other requirements.
    (B) From subsection (c)(3) because the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because, in a criminal or other law 
enforcement investigation, the requirement that information be collected 
to the greatest extent practicable from the subject individual would 
alert the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and by revealing investigative 
techniques, procedures or evidence.
    (25) A0380-67DAMI.
    (i) System name: Personnel Security Clearance Information Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5) may be exempt 
from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 
(e)(4)(H), and (e)(4)(I).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5).
    (iv) Reasons: The material contained in this record system contains 
data concerning sensitive sources and operational methods whose 
dissemination must be strictly controlled because of national security 
intelligence considerations. Disclosure of documents or the disclosure 
accounting record may compromise the effectiveness of the operation, and 
negate specialized techniques used to support intelligence or criminal 
investigative programs, or otherwise interfere with the orderly conduct 
of intelligence operations or criminal investigations.
    (26) A0381-20bDAMI.
    (i) System name: Counterintelligence/Security Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), and

[[Page 52]]

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

[[Page 53]]

for Intelligence could decide it is appropriate for an individual to 
have access to all or a portion os his/her records in this system of 
records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of the sources of information, to protect the privacy 
and physical safety of confidential sources and witnesses and to avoid 
the disclosure of investigative techniques and procedures. Although the 
system will be exempt from this requirement, the Deputy Chief of Staff 
for Intelligence has published such a notice in broad, generic terms.
    (27) A0381-100aDAMI.
    (i) System name: Intelligence/Counterintelligence Source Files.
    (ii) Exemption: All portions of this system of records that fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5) may be exempt 
from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through (d)(5), 
(e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5).
    (iv) Reasons: (A) From subsection (c)(3)because disclosing the 
agencies to which information from this system has been released could 
reveal the subject's involvement in a sensitive intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation, or intelligence operation or investigation; or the 
existence of that investigation or operation. Granting access to such 
information could seriously impede or compromise an investigation or 
operation; endanger the physical safety of participants and their 
families, confidential sources, witnesses, intelligence personnel, and 
their families; and lead to the improper influencing of witnesses; the 
destruction of evidence or the fabrication of testimony and disclose 
investigative techniques and procedures.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records could inform the subject of an intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation or the existence of that operation or investigation; 
or the nature and scope of the information and evidence obtained, or of 
the identity of confidential sources, witnesses and intelligence 
personnel. Granting access to such information could seriously impede or 
compromise an operation or investigation; endanger the physical safety 
of confidential sources, witnesses, intelligence personnel and their 
families; lead to the improper influencing of witnesses; the destruction 
of evidence or the fabrication of testimony; disclose investigative 
techniques and procedures; invade the privacy of those individuals 
involved in intelligence programs and their families; compromise and 
thus negate specialized techniques used to support intelligence 
programs; and interfere with and negate the orderly conduct of 
intelligence and counterintelligence operations and investigations. In 
addition, the agency is required to protect the confidentiality of 
sources who furnished information to the Government under an expressed 
promise of confidentiality or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence. This confidentiality is needed to maintain the Government's 
continued access to information from persons who otherwise might refuse 
to give it.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of specific information in the early 
stages of an investigation or operation. Relevance and necessity are 
often questions of judgment and timing, and it is only after the 
information is evaluated that the relevance and necessity of such 
information can be established. In addition, during the course of the 
investigation or operation, the investigator or operative may obtain 
information which is incidental to the main purpose of the investigative 
jurisdiction of another agency. Such information cannot readily be 
segregated. Furthermore, during the course of the investigation or 
operation, the investigator may obtain information concerning violations 
of law other than those which are within the scope of his/her 
jurisdiction. In the interest of effective intelligence operations and 
law enforcement, military intelligence agents should retain information, 
since it is an aid in establishing patterns of criminal or intelligence 
activity and provides valuable

[[Page 54]]

leads for other law enforcement or intelligence agencies.
    (D) From subsection (e)(4)(G), (e)(4)(H), and (f) because this 
system of records is being exempt from subsection (d) of the Act 
concerning access to records. These requirements are inapplicable to the 
extent that this system of records will be exempt from subsections 
(d)(1) through (d)(5) of the Act. Although the system would be exempt 
from these requirements, the Deputy Chief of Staff for Intelligence has 
published information concerning its notification, access, and contest 
procedures because under certain circumstances, the Deputy Chief of 
staff for Intelligence could decide it is appropriate for an individual 
to have access to all or a portion of his/her records in this system of 
records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of sources of information, to protect the privacy and 
physical safety of participants and their families, confidential 
sources, and witnesses and to avoid the disclosure of specialized 
techniques and procedures. Although the system will be exempt from this 
requirement, the Deputy Chief of Staff for Intelligence has published 
such a notice in broad generic terms.
    (28) A0381-100bDAMI
    (i) System name: Technical Surveillance Index.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5) may be 
exempt from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through 
(d)(5), (e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2) or (k)(5).
    (iv) Reasons: (A) From subsection (c)(3) because disclosing the 
identities of agencies to which information from this system has been 
released could inform the subject of an investigation of an actual or 
potential criminal violation or intelligence operation; of the existence 
of that investigation or operation; of the nature and scope of the 
information and evidence obtained as to his/her activities or of the 
identify of confidential sources, witnesses, and intelligence or law 
enforcement personnel and could provide information to enable the 
subject to avoid detection or apprehension. Granting access to such 
information could seriously impede or compromise an investigation; 
endanger the physical safety of confidential sources, witnesses, 
intelligence or law enforcement personnel, and their families; lead to 
the improper influencing of witnesses; the destruction of evidence or 
the fabrication of testimony and disclose investigative techniques and 
procedures. In addition, granting access to such information could 
disclose classified and sensitive sources and operational methods and 
could constitute an unwarranted invasion of the personal privacy of 
others.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records in this system of records could inform the subject of an 
investigation of an actual or potential criminal violation; of the 
existence of that investigation; of the nature and scope of the 
information and evidence obtained as to his/her activities; or of the 
identity of confidential sources, witnesses and intelligence or law 
enforcement personnel and could provide information to enable the 
subject to avoid detection or apprehension. Granting access to such 
information could seriously impede or compromise an investigation; 
endanger the physical safety of confidential sources, witnesses, 
intelligence or law enforcement personnel and their families; lead to 
the improper influencing of witnesses; the destruction of evidence or 
the fabrication of testimony and disclose investigative techniques and 
procedures. In addition, granting access to such information could 
disclose classified, sensitive sources and operational methods and could 
constitute an unwarranted invasion of the personal privacy of others.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of specific information in the early 
stages of an investigation or operation. Relevance and necessity are 
often questions of judgment and timing, and it is only after the 
information is evaluated that the relevance and necessity of such 
information can be established. In addition, during the course of the 
investigation or operation, the investigator may obtain information 
which is incidental to

[[Page 55]]

the main purpose of the investigative jurisdiction of another agency. 
Such information cannot readily be segregated. Furthermore, during the 
course of the investigation or operation, the investigator may obtain 
information concerning violation of laws other than those which are 
within the scope of his/her jurisdiction. In the interest of effective 
intelligence operations and law enforcement, criminal law enforcement 
investigators and military intelligence agents should retain this 
information, since it can aid in establishing patterns of criminal or 
intelligence activity and can provide valuable leads for other law 
enforcement or intelligence agencies.
    (D) From subsections (e)(4)(G) and (e)(4)(H) because this system of 
records is being exempt from subsections (d) of the Act, concerning 
access to records, these requirements are inapplicable to the extent 
that this system of records will be exempt from subsections (d)(1) 
through (d)(5) of the Act. Although the system would be exempt from 
these requirements, the Deputy Chief of Staff for Intelligence and the 
U.S. Army Criminal Investigations Command have published information 
concerning its notification, access, and contest procedures for their 
respective areas because, under certain circumstances, the Deputy Chief 
of Staff for Intelligence or the U.S. Army Criminal Investigations 
Command could decide it is appropriate for an individual to have access 
to all or a portion of his/her records in this system of records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of the sources of information, to protect the privacy 
and physical safety of confidential sources and witnesses and to avoid 
the disclosure of investigative techniques and procedures. Although the 
system will be exempt from this requirement, the Deputy Chief of Staff 
for Intelligence and the U.S. Army Criminal Investigations Command have 
published such a notice in broad, generic terms.
    (29) System identifier: A0601-141 DASG.
    (i) System name: Applications for Appointment to Army Medical 
Department.
    (ii) Exemption: Investigatory 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 material would reveal the 
identity of a confidential source. Therefore, portions of the system of 
records may be exempt pursuant to 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluations and investigatory material on applicants applying for 
enlistment furnished to the US Army Recruiting Command under an express 
promise of confidentiality, be maintained to insure the candid 
presentation of information necessary in determinations of enlistment 
and suitability for enlistment into the United States Army.
    (30) A0601-210aUSAREC.
    (i) System name: Enlisted Eligibility Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) may be exempt from the 
provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluations and investigatory material on applicants applying for 
enlistment furnished to the US Army Recruiting Command under an express 
promise of confidentiality, be maintained to insure the candid 
presentation of information necessary in determinations of enlistment 
and suitability for enlistment into the United States Army.
    (31) System identifier: A0601-222 USMEPCOM
    (i) System name: Armed Services Military Accession Testing
    (ii) Exemption: Testing or examination material used solely to 
determine individual qualifications for appointment or promotion in the 
Federal service or military service may be exempt pursuant to 5 U.S.C. 
552a(k)(6), if the disclosure would compromise the objectivity or 
fairness of the test or examination process. Therefore, portions of the 
system of records may be exempt pursuant to 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(6).

[[Page 56]]

    (iv) Reasons: An exemption is required for those portions of the 
Skill Qualification Test system pertaining to individual item responses 
and scoring keys to prelude compromise of the test and to insure 
fairness and objectivity of the evaluation system.
    (32) System identifier: A0608-18 DASG.
    (i) System name: Army Family Advocacy Program (FAP) Files
    (ii) Exemptions: (A) 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 such 
information, the individual will be provided access to such information 
except to the extent that disclosure would reveal the identity of a 
confidential source.
    (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 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), (d), (e)(1), (e)(4)(G), (H), and (I) 
and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iv) Reason: (A) 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.
    (B) 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.
    (C) 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 valuable 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.
    (D) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsections (k)(2) 
and (k)(5) of the Privacy Act of 1974.
    (E) 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.
    (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 Army will grant access to nonexempt material 
in the records being maintained. Disclosure will be governed by the 
Department of the Army'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.

[[Page 57]]

    (33) A0614-115DAMI.
    (i) System name: Department of the Army Operational Support 
Activities.
    (ii) Exemption: All portions of this system of records that fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5) may be exempt 
from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through (d)(5), 
(e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5).
    (iv) Reasons: (A) From subsection (c)(3)because disclosing the 
agencies to which information from this system has been released could 
reveal the subject's involvement in a sensitive intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation, or intelligence operation or investigation; or the 
existence of that investigation or operation. Granting access to such 
information could seriously impede or compromise an investigation or 
operation; endanger the physical safety of participants and their 
families, confidential sources, witnesses, intelligence personnel, and 
their families; and lead to the improper influencing of witnesses; the 
destruction of evidence or the fabrication of testimony and disclose 
investigative techniques and procedures.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records could inform the subject of an intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation or the existence of that operation or investigation; 
of the nature and scope of the information and evidence obtained, or of 
the identity of confidential sources, witnesses and intelligence 
personnel. Granting access to such information could seriously impede or 
compromise an operation or investigation; endanger the physical safety 
of confidential sources, witnesses, intelligence personnel and their 
families; lead to the improper influencing of witnesses; the destruction 
of evidence or the fabrication of testimony; disclose investigative 
techniques and procedures; invade the privacy of those individuals 
involved in intelligence programs and their families; compromise and 
thus negate specialized techniques used to support intelligence 
programs; and interfere with and negate the orderly conduct of 
intelligence and counterintelligence operations and investigations. In 
addition, the agency is required to protect the confidentiality of 
sources who furnished information to the Government under an expressed 
promise of confidentiality or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence. This confidentiality is needed to maintain the Government's 
continued access to information from persons who otherwise might refuse 
to give it.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance of specific information in the early stages of an 
investigation or operation. Relevance and necessity are often questions 
of judgment and timing, and it is only after the information is 
evaluated that the relevance and necessity of such information can be 
established. In addition, during the course of the investigation or 
operation, the investigator or operative may obtain information which is 
incidental to the main purpose of the investigative jurisdiction of 
another agency. Such information cannot readily be segregated. 
Furthermore, during the course of the investigation or operation, the 
investigator may obtain information concerning violations of law other 
than those which are within the scope of his/her jurisdiction. In the 
interest of effective intelligence operations and law enforcement, 
military intelligence agents should retain information, since it is an 
aid in establishing patterns of criminal or intelligence activity and 
provides valuable leads for other law enforcement or intelligence 
agencies.
    (D) From subsection (e)(4)(G), (e)(4)(H), and (f) because this 
system or records is being exempt from subsections (d) of the Act, 
concerning access to records. These requirements are inapplicable to the 
extent that this system of records will be exempt from subsections 
(d)(1) through (d)(5) of the Act. Although the system would be exempt 
from these requirements, the Deputy Chief of Staff for Intelligence has 
published information concerning its notification, access, and contest

[[Page 58]]

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

[[Page 59]]

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

[61 FR 43657, Aug. 26, 1996, as amended at 62 FR 48480, Sept. 16, 1997; 
64 FR 45877, Aug. 23, 1999; 65 FR 6895, Feb. 11, 2000; 66 FR 55876, Nov. 
5, 2001; 67 FR 17618, Apr. 11, 2002; 68 FR 25817, May 14, 2003; 70 FR 
49487, Aug. 24, 2005]

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

                              A0319.01DACA

                              System name:

    Out-of-Service Accounts Receivables.

                            System location:

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

            Categories of individuals covered by the system:

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

                  Categories of records in the system:

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

[[Page 60]]

    e. Reports from probate courts regarding estates of deceased 
debtors;
    f. Reports from bankruptcy courts regarding claims of the United 
States against debtors.

                Authority for maintenance of the system:

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

                                Purpose:

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

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

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

               Disclosure to Consumer Reporting Agencies:

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

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

                                Storage:

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

                             Retrievability:

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

                               Safeguards:

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

                         Retention and disposal:

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

                     System manager(s) and address:

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

                         Notification procedure:

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

                        Record access procedures:

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

                      Contesting record procedures:

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

[[Page 61]]

                        Record source categories:

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

          Systems exempted from certain provisions of the act:

    None.

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

                           Narrative Statement

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

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

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

[[Page 62]]

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

                Appendix D to Part 505--Glossary of Terms

                                Section I

                              Abbreviations

                                  AAFES

Army and Air Force Exchange Service

                                  AARA

Access and Amendment Refusal Authority

                                  ACSIM

Assistant Chief of Staff for Information Management

                                   DA

Department of the Army

                                   DOD

Department of Defense

                                   GAO

General Accounting Office

                                   GSA

General Services Administration

                                  JUMPS

Joint uniform military pay system

                                  MACOM

Major Army command

                                  MPMIS

Military Police management information system

                                  NARS

National Archives and Records Service

                                   NGB

National Guard Bureau

                                   OMB

Office of Management and Budget

                                   OPM

Office of Personnel Management

                                   SSN

Social Security Number

[[Page 63]]

                                   TAG

The Adjutant General

                                   TIG

The Inspector General

                                  TJAG

The Judge Advocate General

                                 USACIDC

U.S. Army Criminal Investigation Command

                               Section II

                                  Terms

                                 Access

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

                                 Agency

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

                 Access and Amendment Refusal Authority

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

                           Confidential source

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

                              Data subject

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

                               Disclosure

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

                               Individual

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

                                Maintain

Collect, use, maintain, or disseminate.

                              Official use

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

                          Personal information

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

                           Privacy Act request

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

                                 Record

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

                               Routine use

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

                           Statistical record

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

[[Page 64]]

                             System manager

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

                            System of records

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



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




                         Subpart A_Introduction

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

   Subpart B_Manufacture and Sale of Decorations, Medals, Badges, and 
                                Insignia

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

              Subpart C_Commercial Use of Heraldic Designs

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

               Subpart D_Heraldic Quality Control Program

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

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

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



                         Subpart A_Introduction



Sec. 507.1  Purpose.

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



Sec. 507.2  References.

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



Sec. 507.3  Explanation of abbreviations and terms.

    (a) Abbreviations. (1) AFB--Air Force Base.
    (2) DA--Department of the Army.

[[Page 65]]

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



Sec. 507.4  Responsibilities.

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



Sec. 507.5  Statutory authority.

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



   Subpart B_Manufacture and Sale of Decorations, Medals, Badges, and 
                                Insignia.



Sec. 507.6  Authority to manufacture.

    (a) A certificate of authority to manufacture heraldic articles may 
be granted by the Institute of Heraldry.
    (1) Certificates of authority will be issued only to companies who 
have manufacturing capability and agree to manufacture heraldic items 
according

[[Page 66]]

to applicable specifications or purchase descriptions.
    (2) The certificate of authority is valid only for the individual or 
corporation indicated.
    (3) A hallmark will be assigned to each certified manufacturer. All 
insignia manufactured will bear the manufacturer's hallmark.
    (b) A certificate of authority may be revoked or suspended under the 
procedures prescribed in subpart D of this part.
    (c) Manufacturers will submit a preproduction sample to TIOH of each 
item they manufacture for certification under the Heraldic Quality 
Control Program. A letter of certification authorizing manufacture of 
each specific item will be issued provided the sample meets quality 
assurance standards.
    (d) A copy of the certified manufactures list will be furnished to 
the Army and Air Force Exchange Service and, upon request, to Army and 
Air Force commanders.



Sec. 507.7  Authority to sell.

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



Sec. 507.8  Articles authorized for manufacture and sale.

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



Sec. 507.9  Articles not authorized for manufacture or sale.

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



              Subpart C_Commercial Use of Heraldic Designs



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

    The policy of the Department of the Army and the Department of the 
Air Force is to restrict the use of military designs for the needs or 
the benefit of personnel of their Services.
    (a) Except as authorized in writing by the Department of the Army or 
the Department of the Air Force, as applicable, the manufacture of 
commercial articles incorporating designs or likenesses of official 
Army/Air Force

[[Page 67]]

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



Sec. 507.11  Reproduction of designs.

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



Sec. 507.12  Possession and wearing.

    (a) The wearing of any decoration, service medal, badge, service 
ribbon, lapel button, or insignia prescribed or authorized by the 
Department of the Army and the Department of the Air Force by any person 
not properly authorized to wear such device, or the use of any 
decoration, service medal,

[[Page 68]]

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



               Subpart D_Heraldic Quality Control Program



Sec. 507.13  General.

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



Sec. 507.14  Controlled heraldic items.

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



Sec. 507.15  Certification of heraldic items.

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



Sec. 507.16  Violations and penalties.

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



Sec. 507.17  Procurement and wear of heraldic items.

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

[[Page 69]]

commander feels the quality does not meet standards.



Sec. 507.18  Processing complaints of alleged breach of policies.

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

[[Page 70]]

    (v) Obtain, upon written request filed before the commencement of 
the hearing, at no cost, a verbatim transcript of the proceedings.
    (e) Public hearing by examiner. (1) At the time, date, and place 
designated in accordance with paragraph (d) (3) of this section, the 
examiner will conduct the public hearing.
    (i) A verbatim record of the proceeding will be maintained.
    (ii) All previous material received by the examiner will be 
introduced into evidence and made part of the record.
    (iii) The Government may be represented by counsel at the hearing.
    (2) Subsequent to the conclusion of the hearing, the examiner will 
make specific findings on the record before him or her concerning each 
allegation.
    (3) The complete record of the case will be forwarded to the 
Director.
    (f) Action by the Director. (1) The Director will review the record 
of the hearing and either approve or disapprove the findings.
    (2) Upon arrival of a finding of breach of quality control policies, 
the manufacturer will be so advised.
    (3) After review of the findings, the certificate of authority may 
be revoked or suspended. If the certificate of authority is revoked or 
suspended, the Director will--
    (i) Notify the manufacturer of the revocation or suspension.
    (ii) Remove the manufacturer from the list of certified 
manufacturers.
    (iii) Inform the Army and Air Force Exchange Service of the action.
    (g) Reinstatement of certificate of authority. The Director may, 
upon receipt of adequate assurance that the manufacturer will comply 
with quality control policies, reinstate a certificate of authority that 
has been suspended or revoked.



PART 508_COMPETITION WITH CIVILIAN BANDS--Table of Contents




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



Sec. 508.1  Utilization of Army bands.

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

[25 FR 10700, Nov. 9, 1960]



PART 510_CHAPLAINS--Table of Contents




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

[[Page 71]]



Sec. 510.1  Private ministrations, sacraments, and ordinances.

    Chaplains will conduct or arrange for appropriate burial services at 
the interment of members of the military service, active and retired, 
and for members of their families upon request. A chaplain may perform 
the marriage rite, provided he complies with the civil law of the place 
where the marriage is to be solemnized and provided all parties 
concerned have complied with the requirements of the denomination the 
chaplain represents and with any directives which may have been issued 
by the military command or higher headquarters. The scope of the 
chaplains' work will include such ministrations as are held by some 
denominations or religious bodies as sacraments and by others as rites 
or ordinances. Chaplains will administer or arrange for rites and 
sacraments for military personnel and civilians under military 
jurisdiction according to the respective beliefs and conscientious 
practices of all concerned.

[16 FR 12931, Dec. 27, 1951]



PART 513_INDEBTEDNESS OF MILITARY PERSONNEL--Table of Contents




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

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

    Authority: 10 U.S.C. 3012.

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



Sec. 513.1  General.

    (a) Purpose. This regulation prescribes Department of the Army (DA) 
policy, responsibilities, and procedures in handling debt claims against 
soldiers.
    (b) References. Required and related publications and prescribed and 
referenced forms are listed in appendix A.
    (c) Explanation of abbreviations and terms. Abbreviations and 
special terms used in this regulation are explained in the glossary.
    (d) Responsibilities. (1) The Deputy Chief of Staff for Personnel 
will set policy on processing debt claims against soldiers.
    (2) The Commanding General, U.S. Army Community and Family Support 
Center (CG, USACFSC) will--
    (i) Set procedures for processing debt claims against soldiers.
    (ii) Process debt claims received at USACFSC regarding soldiers.
    (iii) Carry out the objectives of this regulation to protect the 
rights of the soldier, his or her family members, and the interests of 
the Army.
    (iv) Advise and assist the directors of Headquarters, Department of 
the Army (HQDA) agencies, commanders of the major Army commands, and 
other commanders on matters pertaining to indebtedness of soldiers.
    (3) Officers having general court-martial jurisdiction will--
    (i) Ensure special emphasis on the indebtedness issue is given in 
command information programs. This includes soldiers being informed of 
their responsibility to manage their personal affairs satisfactorily and 
pay their debts promptly. Also, inform soldiers of the possible 
consequences of failure to pay their debts.
    (ii) Take action on requests to file unfavorable information in a 
soldier's official personnel file. (See Sec. 513.3.)
    (4) First level field grade commanders will monitor instances of 
soldiers' repeated failure to pay debts that are brought to their 
attention. These commanders will take action, when proper.
    (5) Immediate commanders will--
    (i) Ensure that soldiers are informed of the following:
    (A) DA policy on indebtedness.
    (B) The possible consequences of failure to pay their debts.
    (ii) Manage the processing of debt claims per the terms of this 
regulation.
    (iii) Answer all correspondence received from CG, USACFSC and other 
DA officials.
    (iv) Answer all correspondence received directly from claimants and 
third parties (for example, Members of

[[Page 72]]

Congress). The commander will not include unreleasable information 
without the soldier's written consent. This complies with the Privacy 
Act of 1974. (See AR 340-21.) Commanders should ask the Staff Judge 
Advocate (SJA) for guidance in unusual or difficult situations.
    (v) Inform the first level field grade commander of instances of 
soldiers' repeated failure to pay their debts. Also, point out actions 
taken or contemplated to correct the situation.
    (vi) Refer correspondence or queries received from news media 
organizations to the unit, installation, or command public affairs 
officer for response.
    (6) The unit, installation, or command public affairs officer will--
    (i) Answer correspondence and queries received from news media 
organizations.
    (ii) Coordinate with the SJA before making any response.
    (e) Policy. (1) Soldiers are required to manage their personal 
affairs satisfactorily and pay their debts promptly. Failure to do so 
damages their credit reputation and affects the Army's public image. The 
Army, however, has no legal authority to force soldiers to pay their 
debts. Also, the Army cannot divert any part of a soldier's pay even 
though payment of the debt was decreed by a civil court. Only civil 
authorities can enforce payment of private debts.
    (2) Debt claims against corporations and organizations to which a 
soldier belongs, or of which a soldier is an officer, will not be 
processed under this regulation. In this situation, the matter should be 
pursued in civil court. If a judgment is received specifically against 
the soldier, then this regulation will apply.
    (3) Creditors who follow Sec. 513.4 will have their debt complaints 
processed.
    (4) Requests for help that do not follow Sec. 513.4 will be 
returned without action with an explanation as discussed in Sec. 
513.4(d).
    (5) The Army will revoke debt processing privileges for creditors 
who--
    (i) Refuse to abide by this regulation.
    (ii) Try to use the Army as a debt collection agency. (See Sec. 
513.4(e)).
    (6) The Army does not try to judge or settle disputed debts, or 
admit or deny whether claims are valid. The Army will not tell claimants 
whether any adverse action has been taken against a soldier as a result 
of the claim.
    (7) If a soldier is not trying to resolve unpaid debts promptly or 
complaints of repeated failure to pay debts are received, commanders 
will consider the actions shown below. (See Sec. Sec. 513.2(a)(3)(xv) 
and 513.3.)
    (i) Making the failure a matter of permanent record.
    (ii) Denial of reenlistment (enlisted personnel).
    (iii) Administrative separation from the Service.
    (iv) Punishment under the Uniform Code of Military Justice (UCMJ). 
When proper, such misconduct may be charged under articles 92, 123, 133, 
or 134 of the UCMJ.
    (8) Checks that are dishonored for any reason remain proof of 
indebtedness until--
    (i) Made good.
    (ii) Proven to be the error of the financial institution on which 
drawn, or the error of any other person or institution; such action then 
absolves the soldier of fault. (See Sec. 513.2(c).)
    (9) When necessary, commanders and soldiers are urged to seek help 
from the SJA.
    (f) Banks and credit unions. (1) Banks and credit unions located on 
military bases must apply Department of Defense (DOD) Standards of 
Fairness (app B) before making loans or credit agreements. Banks and 
credit unions that do not meet this requirement will be denied help in 
processing debt complaints.
    (2) If soldiers are referred to off-base branches of an on-post bank 
or credit union, the branches also must comply with the Standards of 
Fairness before making loans or credit agreements.
    (3) Interest rates and service charges for loans made by oversea 
military banking facilities are set by DOD.
    (g) Fair Debt Collection Practices Act (section 1692, title 15, 
United States Code (15 U.S.C. 1692)). (1) A debt collector may not 
contact any person other than the soldier, his or her lawyer or legal 
counsel, or the creditor about any debt collection. The debt collector, 
however,

[[Page 73]]

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

[51 FR 7269, Mar. 3, 1986; 51 FR 8824, Mar. 14, 1986, as amended at 51 
FR 17961, May 16, 1986]



Sec. 513.2  Administrative procedures for processing complaints.

    (a) Commander's actions. Upon receipt of a debt complaint, the 
commander will--
    (1) Review the case to ensure that the terms of this regulation have 
been met.
    (2) Consult the SJA if needed.
    (3) Take the following actions:
    (i) If any of the terms of Sec. 513.4(c) have not been met by the 
creditor, return the complaint. Tell the writer that no action will be 
taken until those terms are met.
    (ii) Upon receipt of subsequent inquiries from USACFSC, Members of 
Congress, or any other source, inform the writer that--
    (A) The creditor has been told that his or her request lacked data 
or documentation.
    (B) The commander regrets that he or she cannot process the 
complaint until the creditor supplies the necessary data.
    (C) A reply previously has been made to the creditor. Enclose a copy 
of the reply.
    (iii) If the creditor refuses or repeatedly fails to comply with any 
of these requirements, refer the complete case through channels to the 
Commander, USACFSC, ATTN: DACF-IS-PA, ALEX VA 22231-0522. If it is 
believed the creditor's debt processing privileges should be revoked, 
include a recommendation stating the reasons.
    (iv) If the soldier was not given full disclosure information when 
the debt was incurred, refer him or her to the SJA office. The SJA 
office will advise if the soldier has a right to file suit

[[Page 74]]

against the creditor. The soldier may be entitled to twice the amount of 
the finance charge, for a minimum of $100 up to a maximum of $1,000, 
plus court costs and lawyer fees. This does not apply to debts incurred 
before 30 June 1969.
    (v) If in doubt as to the legality of the contract, consult the SJA. 
This action is to ensure that the contract terms do not violate Federal 
and State laws.
    (vi) Accept as valid proof, claims based on court judgments, orders, 
or decrees.
    (vii) If the debt or the amount of the debt is disputed or denied by 
the soldier, reply directly to the creditor. Tell him or her that Army 
policy requires that disputed debts be settled by civil courts. Do not, 
in the reply, try to judge or settle any disputed debts, or admit or 
deny the validity of the claim.
    (viii) If the creditor has met all the requirements discussed in 
Sec. 513.4, interview the soldier.
    (A) Ensure that the soldier is properly advised of his or her rights 
under the Privacy Act of 1974. DA Form 4817-R (Consent/Nonconsent To 
Disclose Personal Information) will be completed.
    (B) Notify the soldier of the debt complaint.
    (C) Explain that the Army requires that soldiers pay their debts 
promptly. Failure to do so damages credit reputations and affects the 
Army's public image. Also, explain that the willful failure to resolve 
unpaid debts may result in administrative or punitive actions as 
described in Sec. 513.3.
    (D) Tell the soldier of his or her legal rights and duties. If 
appropriate, advise the soldier of his or her rights under article 31, 
UCMJ. Also, inform the soldier that counseling service is available 
under the Legal Assistance Program (AR 27-3).
    (E) Review all available facts including the soldier's defenses, 
rights, and counterclaims.
    (F) Urge the soldier to seek budget counseling and consumer 
protection advice, if proper. These services may be obtained from on-
post credit unions, Army Community Service Program Counselors (AR 608-
1), or through financial management seminars or workshops.
    (G) Help the soldier in settling or in liquidating the debt. Give 
the soldier a copy of DA Pam 360-520 if proper. Answer any questions 
that he or she might have.
    (H) Have the soldier sign a statement allowing or forbidding release 
of information to the claimant (DA Form 4817-R). AR 340-17 and AR 340-
21, paragraph 3-3 govern this.
    (I) Ask the soldier about his or her intentions. Give the soldier 
the chance to furnish a voluntarily signed statement admitting or 
denying the complaint or declining to do either.
    (ix) Advise the claimant promptly that the soldier has been told of 
the complaint.
    (x) Summarize the soldier's intentions if the soldier allows release 
of the information.
    (xi) If proper, advise the claimant that indebtedness disputes must 
be resolved in a civil court of competent jurisdiction.
    (xii) Ask the claimant to write, if necessary, directly to the 
soldier or his or her commander.
    (xiii) Retain the statement allowing or forbidding release of 
information to the claimant with the case file for future reference. 
(See Sec. 513.3)
    (xiv) Monitor actions closely to ensure promises made to claimants 
are being met.
    (xv) Consider administrative or punitive action, if proper (See 
Sec. Sec. 513.1(e)(7) and 513.3.)
    (xvi) Inform the first level field grade commander of instances of 
soldiers' repeated failure to pay their debts. Also, point out actions 
taken or contemplated to correct the situation.
    (b) Procedures for routing debt complaints. (1) Send debt complaints 
through proper channels to the soldier's commander for action.
    (2) If the soldier is a patient attached to a medical holding 
detachment (MHD), the complaint will be sent there for action. The 
commander of the MHD will take action per this regulation.
    (3) The command receiving the complaint will acknowledge the letter 
and tell the writer of the referral. DA Form

[[Page 75]]

209 (Delay, Referral, or Follow-Up Notice) may be used for this purpose.
    (4) All correspondence to the President, received from outside of 
DOD, will be processed per AR 1-9.
    (5) Send complaints to the soldier's new duty station if the soldier 
has been reassigned. Advise the claimant of the soldier's reporting date 
and the unit address to which correspondence should be sent.
    (6) See Sec. 513.5 for procedures governing processing of claims 
for nonactive duty or discharged personnel.
    (c) Processing debt complaints based on dishonored checks. (1) 
Writing checks against an account with no or not enough funds is a 
serious matter. It may be a misdemeanor or a felony. This depends on the 
amount of the check and the laws or statutes of the jurisdiction where 
the check is presented for payment. The soldier is responsible for 
making sure that money is in his or her bank account to cover checks 
written on that account. Writing bad checks may result in disciplinary 
or administrative action. Whether or not such action is taken, a 
dishonored check for not enough funds remains proof of an indebtedness 
except as provided in Sec. 513.1(e)(8).
    (2) Commanders must answer all check complaints, other than those 
discussed in Sec. 513.2(c)(3), even if such complaints concerns checks 
errors caused by oversight or negligence. (AR 210-60 outlines ways for 
handling dishonored checks written on Army installations and in Army 
facilities.)
    (3) Checks made good within 5 days of notice do not require any 
action if the complaint is based on--
    (i) Bank or Government error.
    (ii) Failure to date the check.
    (iii) Inconsistent or not legible amounts shown on the check.
    (iv) Lack of legible signature.
    (4) Bad checks written by family members are not processed under 
this regulation except in the following instance. The SJA finds that 
these checks stand for debts for which the soldier may be held 
personally liable under Federal or State laws (for example, checks 
written for necessities such as rent, utilities, or food).
    (d) Inquiries from USACFSC or DA officials. The commander must--
    (1) Give USACFSC or DA officials complete data on all inquiries.
    (2) Seek the advice of the SJA before replying to a court order if 
necessary.
    (3) State ``not applicable'' to items that do not apply.
    (4) If applicable, advise USACFSC or DA officials--
    (i) Whether the soldier acknowledges the debt.
    (ii) Of the corrective action taken (to include the amounts and 
dates payments will be made).
    (iii) Of the method of payment (for example, personal check).
    (iv) Whether the soldier allowed or forbade release of the 
information given. (See DA Form 4817-R.)
    (v) Whether the soldier is following the terms of a court order.
    (vi) Whether the soldier's actions follow Army policy as stated in 
this regulation.
    (vii) In the reply, include your name, unit address, and your 
automatic voice network (AUTOVON) number. If no AUTOVON Number is 
available, include a commercial or other number where the unit can be 
reached.
    (5) Return to USACFSC or DA officials inquiries received after the 
soldier has been transferred. Include a copy of his or her permanent 
change of station orders.

[51 FR 7270, Mar. 3, 1986; 51 FR 8824, Mar. 14, 1986]



Sec. 513.3  Administrative and punitive actions.

    (a) Considerations. Commanders will not tolerate irresponsibility, 
neglect, dishonesty, or evasiveness. Failure to pay debts promptly and 
honorably may require disciplinary or administrative action. If a 
soldier is not trying to resolve unpaid debts promptly or complaints of 
repeated failure to pay debts are received, commanders will consider--
    (1) Making it a matter of permanent record (Sec. 513.3(b)).
    (2) Denial of reenlistment (enlisted members) (AR 601-280).
    (3) Administrative separation from the Service (AR 635-100 or AR 
635-200).
    (4) Punishment under the UCMJ. (See Sec. 513.1(e)(7).)

[[Page 76]]

    (b) Official personnel files. (1) The Army requires that all-
inclusive information of the qualifications of its soliders be on file. 
This prevents selection of soldiers for positions of leadership, trust, 
and responsibility whose qualifications are questionable.
    (2) Documents/records created or received in connection with debt 
complaints will be filed per AR 600-37 and the Army Functional Files 
System (AR 340-2 and AR 340-18).
    (3) The soldier may show his or her negligence, disregard, or 
unwillingness to resolve the matter by repeatedly failing to pay his or 
her debts. In these cases, the commander will decide whether to place a 
letter of reprimand, admonition, or censure in the soldier's official 
personnel files. AR 600-37, chapter 2, governs action taken to file 
unfavorable information.
    (4) If information does not merit filing in the soldier's official 
personnel files, the commander will--
    (i) Continue to monitor the situation.
    (ii) Furnish further guidance and help.
    (iii) Consider later action (Sec. 513.3(b)(3)) if warranted by 
further evidence.



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

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

[[Page 77]]

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

[[Page 78]]

    (ii) The fees will have to be paid only if a lawsuit is filed.
    (iii) The fees will not exceed 20 percent of the amount found due.
    (7) A penalty for prepayment has been charged.
    (8) A charge has been made for an insurance premium without 
satisfactory proof of--
    (i) A policy or insurance certificate having been issued.
    (ii) Delivery of a policy or certificate to the soldier within 30 
days of issuance.
    (9) The late charge is in excess of 5 percent of the late payment, 
or $5, whichever is the lesser amount. Only one late charge may be made 
for any late installment. Late charges will not be made where an 
allotment has been timely filed, but payment has been delayed.
    (10) The creditor has not given the soldier a chance to answer a 
previous inquiry. (Forty-five days for those in the contiguous 48 States 
and the District of Columbia; 60 days for all others.)
    (11) The claimant is a debt collector without a court order or a 
signed letter of consent by the soldier. (See Sec. 513.1(g).)
    (12) The debt is covered by an order of a bankruptcy court.
    (e) Cancellation of debt processing privilege. (1) Creditors who 
refuse or fail repeatedly to follow these terms will be referred through 
channels to the Commander, USACFSC, Attn: DACF-IS-PA, Alex, Va 22331-
0522, by the commander.
    (2) The CG, USACFSC will--
    (i) Cancel debt processing privileges if the queries clearly show 
that the creditor is--
    (A) Not conforming with this regulation.
    (B) Trying to make unreasonable use of the debt processing 
privilege.
    (C) Trying to use the Army as a collection agency.
    (ii) Inform commanders worldwide by electrical message that the debt 
processing privilege of a specific creditor has been revoked.
    (iii) Inform the creditor that his or her debt processing privilege 
has been revoked and state the reasons for this action.
    (f) Exemptions from Full Disclosure and Standards of Fairness. The 
debt complaints discussed below are exempt from the Full Disclosure and 
Standards of Fairness. This does not prevent the debtor from questioning 
service charges and negotiating a fair and reasonable settlement.
    (1) Claims from private parties selling personal items (for example, 
car, furniture, appliances) on a one-time basis.
    (2) Claims from companies or individuals giving services in which 
credit is given only to help the soldier (for example, utilities, milk, 
laundry, medical, and related services).
    (3) Claims by endorsers, comakers, or lenders who intend only to 
help the soldier in getting credit. These claims, however, may not 
benefit the above through receipt of interest or otherwise.
    (4) Contract for the purchase, sale, or rental of real estate.
    (5) Claims in which the total unpaid amount does not exceed $50.
    (6) Claims based on a revolving or open-end credit account. The 
account must show--
    (i) The periodic interest rate and the equivalent annual rate.
    (ii) The balance to which the interest is applied to compute the 
charge.
    (7) Claims as security liens on real property (for example, a 
house). This does not include improvements or repairs.
    (8) Attorneys representing parties under Sec. 513.4(f) (1) through 
(7).



Sec. 513.5  Procedures governing nonactive duty or discharged personnel.

    (a) Procedures governing nonactive duty personnel. (1) Debt 
complaints against former soldiers or others not on active duty will be 
sent to the Commander, U.S. Army Reserve Personnel Center (ARPERCEN), 
ATTN: DARP-PSE-VS, 9700 Page Boulevard, St. Louis, MO 63132-5200.
    (2) After ARPERCEN verifies the status, the following officials will 
act as prescribed below.
    (i) Chief, National Guard Bureau, Wash DC 20310-2500, for soldiers 
of the Army National Guard.

[[Page 79]]

    (ii) The area commander concerned for Ready Reservists assigned to 
troop program units under their control. (See AR 140-1, para 1-6.)
    (iii) ARPERCEN for nonunit soldiers assigned to Control Groups of 
the Ready Reserve, Standby Reserve, and Retired Reserve.
    (3) The officials cited in Sec. 513.5(a)(2) will ensure that debt 
complaints are delivered to the person concerned, using military 
channels. When the complaint cannot be delivered through military 
channels, it will be sent to the last known mailing address of the 
person by certified mail, using PS Form 3811 (Return Receipt, 
Registered, Insured, and Certified Mail). It should be marked Return 
Receipt Requested--Deliver to Addressee Only. This form is available at 
U.S. post offices.
    (4) After delivery of correspondence, the responsible official will 
advise the claimant--
    (i) Of the date and method of delivery.
    (ii) That the military department does not control the personal 
affairs of nonactive duty personnel. These personnel usually are in a 
civilian status and are not subject to military discipline. Therefore, 
the matter has been left to the person's discretion.
    (iii) Of the person's mailing address only if the conditions in 
Sec. 513.5(c) are met.
    (b) Procedures governing discharged personnel. (1) Debt complaints 
against persons who have been discharged from the service (that is, 
those now holding no military status) will be sent to ARPERCEN.
    (2) ARPERCEN will return the correspondence, and all accompanying 
documentation, and advise the claimaint--
    (i) That the person is no longer a member of the Army or the Reserve 
Components.
    (ii) Of the date of discharge.
    (iii) That the Army no longer has control or authority over the 
discharged personnel. Therefore, the Army can take no further action in 
this matter.
    (iv) Of the person's mailing address only if the conditions in Sec. 
513.5(c) are met.
    (c) Conditions for disclosing mailing address. Nonactive duty and 
discharged personnel's mailing addresses will not be disclosed unless--
    (1) The person consents in writing to the release of his or her 
address.
    (2) The claimant sends a court order directing the release of the 
address.
    (3) Any other reason that does not constitute a violation of the 
Privacy Act of 1974.
    (d) Retired personnel. (1) The claimant may be advised that 
correspondence may be sent to the retired person as follows:
    (i) Place correspondence in a stamped envelope with the retired 
person's name typed or printed on the envelope.
    (ii) Place a stamped envelope in a second envelope and mail to 
Commander, ARPERCEN, Attn: DARP-PSE-VS, 9700 Page Boulevard, St. Louis, 
MO 63131-5200.
    (2) ARPERCEN will forward the correspondence to the retired person, 
but cannot release the address per provisions of the Privacy Act of 
1974.

                   Appendix A to Part 513--References

                                Section I

    Required Publications.

                                AR 340-2

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

                                AR 340-17

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

                                AR 340-18

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

                                AR 340-21

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

                                AR 600-37

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

                              DA Pam 27-166

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

[[Page 80]]

                             DA Pam 360-520

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

                               Section II

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

                                 AR 1-9

    White House Liaison, Communications, and Inspections.

                                 AR 11-2

    Internal Control Systems.

                                 AR 27-3

    Legal Assistance.

                                AR 37-60

    Pricing for Materiel and Services.

                                AR 140-1

    USAR--Mission, Organization, and Training.

                                AR 210-24

    Credit Unions.

                                AR 210-60

    Control and Prevention of Abuse of Check Cashing Privileges.

                               AR 210-135

    Banking Service on Army Installations.

                               AR 601-280

    Army Reenlistment Program.

                                AR 608-1

    Army Community Service Program.

                                AR 608-99

    Family Support, Child Custody, and Paternity.

                               AR 635-100

    Officer Personnel (Separations).

                               AR 635-200

    Enlisted Personnel (Separations).

                               DODD 1344.9

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

                               Section III

    Prescribed Forms.

                             DA Form 4817-R

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

                               Section IV

    Referenced Forms.

                               DA Form 209

    Delay, Referral, or Follow-Up Notice.

                              PS Form 3811

    Return Receipt, Registered, Insured, and Certified Mail.

              Appendix B to Part 513--Standards of Fairness

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

[[Page 81]]

    B-5. No late charge shall be made in excess of 5 percent of the late 
payment, or $5 whichever is the lesser amount, or as provided by law or 
applicable regulatory agency determination. Only one late charge may be 
made for any tardy installment. Late charges will not be levied where an 
allotment has been timely filed, but payment of the allotment has been 
delayed. Late charges by overseas banking facilities are a matter of 
contract with the Department of Defense. Late charges by Federal credit 
unions are set at 20 percent of the interest due with a minimum of not 
less than 5 cents.
    B-6. The obligation may be paid in full at any time or through 
accelerated payments of any amount. There shall be no penalty for 
prepayment and in the event of prepayment that portion of the finance 
charges which has inured to the benefit of the seller of the creditor 
shall be prorated on the basis of the charges which would have been 
ratably payable had finance charges been calculated and payable as equal 
periodic payments over the terms of the contract and only the prorated 
amount to the date of prepayment shall be due. As an alternative the 
``Rule of 78'' may be applied.
    B-7. If a charge is made for loan insurance protection, it must be 
evidenced by delivery of a policy or certificate of insurance to the 
military member within 30 days.
    B-8. If the loan or contract agreement provides for payments in 
installments, each payment, other than the down payment, shall be in 
equal or substantially equal amounts, and installments shall be 
successive and of equal or substantially equal duration.
    B-9. If the security for the debt is repossessed and sold in order 
to satisfy or reduce the debt, the repossession and resale will be 
governed by the laws of the State in which the security is requested.
    B-10. A contract for personal goods and services may be terminated 
at any time before delivery of the goods or services without charge to 
the purchaser. However, if goods made to the special order of the 
purchaser result in preproduction costs, or require preparation for 
delivery, such additional costs will be listed in the order form or 
contract.
    a. No termination charge will be made in excess of this amount. 
Contracts for delivery at future intervals may be terminated as to the 
undelivered portion.
    b. The purchaser shall be chargeable only for that proportion of the 
total cost which the goods or services delivered bear to the total goods 
called for by the contract. (This is in addition to the right to rescind 
certain credit transactions involving a security interest in real estate 
provided by Pub. L. 90-321, ``Truth-in-Lending Act,'' section 125 (15 
U.S.C. 1601 (1976)) and the Federal Reserve Board Regulation Z (12 CFR 
part 226 and Sec. Sec. 226.3, 226.9 (1978)).

                    Appendix C to Part 513--Glossary

Section I--Abbreviations

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

Section II--Terms

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

[[Page 82]]

bills. Such orders come within the coverage of this regulation 
regardless of where the soldier is stationed.
Soldier: Commissioned and warrant officers and enlisted personnel.

[51 FR 7275, Mar. 3, 1986; 51 FR 8824, Mar. 14, 1986]



PART 516_LITIGATION--Table of Contents




                            Subpart A_General

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

                      Subpart B_Service of Process

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

              Subpart C_Reporting Legal Proceedings to HQDA

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

                     Subpart D_Individual Liability

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

Subpart E_Legal Proceedings Initiated by the United States Medical Care 
                           and Property Claims

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

                        Assertion of Other Claims

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

                   Subpart F_Environmental Litigation

516.38 Scope.
516.39 Duties and procedures.

   Subpart G_Release of Information and Appearance of Witnesses Scope

516.40 General.
516.41 Policy.
516.42 Reference to HQDA.

            Release of Records in Connection With Litigation

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

             DA Personnel as Witnesses in Private Litigation

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

          Litigation in Which the United States Has an Interest

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

                Status, Travel, and Expenses of Witnesses

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

[[Page 83]]

         Subpart H_Remedies in Procurement Fraud and Corruption

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

        Subpart I_Cooperation With the Office of Special Counsel

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

     Subpart J_Soldiers Summoned To Serve on State and Local Juries

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

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

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

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



                            Subpart A_General



Sec. 516.1  Purpose.

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



Sec. 516.2  References.

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



Sec. 516.3  Explanation of abbreviations and terms.

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



Sec. 516.4  Responsibilities.

    (a) United States Department of Justice (DOJ). DOJ will defend 
litigation in domestic and foreign courts, against the United States, 
its agencies and instrumentalities, and employees whose official conduct 
is involved. The various U.S. Attorney Offices, under the oversight of 
the Attorney General, will conduct much of the representation.
    (b) The Judge Advocate General (TJAG). Subject to the ultimate 
control of litigation by DOJ (including the various U.S. Attorney 
Offices), and to the general oversight of litigation by the Army General 
Counsel, TJAG is responsible for litigation in which the Army has an 
interest except with respect to proceedings addressed in paragraph (i) 
of this section, only TJAG (or

[[Page 84]]

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

[[Page 85]]

Office, attorneys assigned to the Regulatory Law Office, and other 
attorneys designated by the Chief, will represent DA consumer interests 
in regulatory matters before state and Federal administrative agencies 
and commissions, including but not limited to proceedings involving 
rates and conditions for the purchase of services for communications 
(except long-distance telephone), transportation, and utilities (gas, 
electric, water and sewer). They will maintain direct liaison with DOJ 
for communications, transportation, and utilities litigation.
    (l) Chief, Intellectual Property Law Division, USALSA. The Chief, 
Intellectual Property Law Division, and the attorneys assigned thereto 
will represent DA in matters pertaining to patents, copyrights, and 
trademarks. They will maintain direct liaison with DOJ concerning 
intellectual property issues.
    (m) Chief, Labor and Employment Law Office, OTJAG. The Chief, Labor 
and Employment Law Office, attorneys assigned thereto, and attorneys 
identified as labor counselors will represent DA in matters pertaining 
to labor relations, civilian personnel, and Federal labor standards 
enforcement before the following: Federal Labor Relations Authority; 
Merit Systems Protection Board; Equal Employment Opportunity Commission; 
Department of Labor; National Labor Relations Board; and, state 
workmen's compensation commissions. In the event any individual 
mentioned in this subparagraph intends to make a recommendation to DOJ 
concerning an appeal of any case to a U.S. Court of Appeals, such 
recommendation will first be coordinated with Litigation Division.
    (n) Chief, Procurement Fraud Division, USALSA. The Chief, 
Procurement Fraud Division, attorneys assigned thereto, and other 
attorneys designated by the Chief will represent DA in all procurement 
fraud and corruption matters before the Army suspension and debarment 
authority and before any civil fraud recovery administrative body. They 
will maintain liaison and coordinate remedies with DOJ and other 
agencies in matters of procurement fraud and corruption.
    (o) Chief, Environmental Law Division, USALSA. The Chief, 
Environmental Law Division, attorneys assigned thereto, and other 
attorneys designated by the Chief, ELD, will maintain direct liaison 
with DOJ and represent DA in all environmental and natural resources 
civil litigation and administrative proceedings involving missions and 
functions of DA, its major and subordinate commands, installations 
presently or previously managed by DA, and other sites or issues in 
which DA has a substantial interest, except as otherwise specifically 
provided in this part.
    (p) Chief, Criminal Law Division, OTJAG. The Chief, Criminal Law 
Division, will have general oversight of felony and magistrate court 
prosecutions conducted by Army lawyers acting as Special Assistant U.S. 
Attorneys. (See subpart G of this part). The Chief will coordinate with 
DOJ and other governmental agencies concerning the overall conduct of 
these prosecutions.

[59 FR 38236, July 27, 1994; 59 FR 45974, Sept. 6, 1994]



Sec. 516.5  Restriction on contact with DOJ.

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

[59 FR 38236, July 27, 1994; 59 FR 45974, Sept. 6, 1994]

[[Page 86]]



Sec. 516.6  Appearance as counsel.

    (a) General. Military personnel on active duty and DA civilian 
personnel will not appear as counsel before any civilian court or in any 
preliminary proceeding, for example, deposition, in litigation in which 
the Army has an interest without the prior written approval of TJAG, 
except under the following conditions:
    (1) The appearance is authorized by this regulation.
    (2) The individual is a party to the proceeding.
    (3) The appearance is authorized under an expanded legal assistance 
program (See AR 27-3).
    (4) The individual is a judge advocate assigned or detailed by TJAG 
to DOJ to represent the United States in civil or criminal cases, for 
example, a Special Assistant U.S. Attorney, or an attorney assigned to 
Litigation Division.
    (b) Procedure. All requests for appearance as counsel will be made 
through Litigation Division to the Personnel, Plans and Training Office, 
OTJAG. Requests for DA military or civilian attorneys to appear in any 
civilian court or proceeding on behalf of a soldier who is also facing 
UCMJ action will be delivered to the SJA, legal adviser, or Regional 
Defense Counsel, as appropriate. The SJA or legal adviser will forward 
the request to Litigation Division with an evaluation of the case and 
recommendation. Regional Defense Counsel should send requests for USATDS 
counsel to Chief, USATDS, who will forward the request to Litigation 
Division. Privileged or otherwise sensitive client information should 
only be submitted through USATDS channels.



Sec. 516.7  Mailing addresses.

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



                      Subpart B_Service of Process



Sec. 516.8  General.

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



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

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

[59 FR 38236, July 27, 1994; 59 FR 45975, Sept. 6, 1994]



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

    (a) Policy. DA officials will not prevent or evade the service or 
process in legal actions brought against the United States or against 
themselves in their official capacities. If acceptance of service of 
process would interfere with the performance of military duties, Army 
officials may designate a representative to accept service. DA personnel 
sued in their individual capacity should seek legal counsel concerning 
voluntary acceptance of process.
    (b) Request for witnesses or evidence in civil proceedings. See 
subpart G to this part.
    (c) Process of Federal courts. Subject to reasonable restrictions 
imposed by the commander, civil officials will be

[[Page 87]]

permitted to serve Federal process. (See Fed. R. Civ. P. 4, 45).
    (d) Process of state courts.
    (1) In areas of exclusive Federal jurisdiction that are not subject 
to the right to serve state process, the commander or supervisor will 
determine whether the individual to be served wishes to accept service 
voluntarily. A JA or other DA attorney will inform the individual of the 
legal effect of voluntary acceptance. If the individual does not desire 
to accept service, the party requesting service will be notified that 
the nature of the exclusive Federal jurisdiction precludes service by 
state authorities on the military installation.
    (2) On Federal property where the right to serve process is reserved 
by or granted to the state, in areas of concurrent jurisdiction, or 
where the United States has only a proprietary interest, Army officials 
asked to facilitate service of process will initially proceed as 
provided in the preceding subparagraph. If the individual declines to 
accept service, the requesting party will be allowed to serve the 
process in accordance with applicable state law, subject to reasonable 
restrictions imposed by the commander.
    (e) Process of foreign courts. A U.S. District Court may order 
service upon a person who resides in the judicial district of any 
document issued in connection with a proceeding in a foreign or 
international tribunal. (28 U.S.C. 1696). In addition, the U.S. State 
Department has the power to receive a letter rogatory issued by a 
foreign or international tribunal, to transmit it to a tribunal, officer 
or agency in the United States, and to return it after execution. (28 
U.S.C. 1781). Absent a treaty or agreement to the contrary, these 
provisions will govern.
    (f) Seizure of personal property. State and Federal courts issue 
orders (for example, writ of attachment) authorizing a levy (seizure) of 
property to secure satisfaction of a judgment. DA personnel will comply 
with valid state or Federal court orders commanding or authorizing the 
seizure of private property to the same extent that state or Federal 
process is served.

[59 FR 38236, July 27, 1994; 59 FR 45975, Sept. 6, 1994]



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

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



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

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

[[Page 88]]

document to the issuing authority explaining the lack of authority to 
accept service for the United States. Service on the United States must 
be made upon DOJ through established diplomatic channels.



Sec. 516.13  Assistance in serving process overseas.

    (a) Europe. For information and assistance concerning service of 
process of persons assigned to or accompanying U.S. Forces in Europe, 
contact the Foreign Law Branch, International Law Division, Office of 
The Judge Advocate, Headquarters U.S. Army, Europe, and Seventh Army, 
Unit 29351, (Heidelberg, Germany) APO AE 09014.
    (b) Korea. For information and assistance concerning service of 
process of persons assigned to or accompanying U.S. Forces in Korea, 
contact Staff Judge Advocate, US Forces Korea (Seoul, Republic of 
Korea), APO AP 96205.
    (c) Panama, Central and South America. For information and 
assistance concerning service of process of persons assigned to or 
accompanying forces in the U.S. Army Southern Command, contact Staff 
Judge Advocate, HQ, US Army South, Fort Clayton, Panama, APO AA 34004-
5000.



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

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



              Subpart C_Reporting Legal Proceedings to HQDA



Sec. 516.15  General.

    (a) Legal proceedings requiring reporting. Actions must be taken 
upon commencement of litigation or administrative proceedings in which 
the United States has an interest. Typically, the Secretary of the Army, 
DA, the United States, or DA personnel are named as defendant in a 
lawsuit or as respondent in an administrative proceeding. A nonexclusive 
listing of cases in which the United States has an interest include the 
following:
    (1) Suits for damages, injunctive relief, or other action filed 
against the government or against DA personnel in their official 
capacity.
    (2) Suits alleging individual liability arising from performance of 
official duties by DA personnel.
    (3) Actions affecting DA operations or activities or which might 
require official action by DA personnel.
    (4) Actions arising out of DA contracts, subcontracts, or purchase 
orders wherein the government might be required to reimburse a 
contractor for litigation expenses.
    (5) Bankruptcy proceedings in which the United States or its 
instrumentalities may have an interest, including bankruptcies involving 
government contractors.
    (b) Command and agency responsibility. Commanders and supervisors of 
Army units, installations, or organizations will ensure reports required 
by this section are promptly submitted.
    (c) Reports to HQDA. Reports required by this regulation will be 
made telephonically or mailed to the responsible organization at DA. 
Appendix B to this part contains mailing addresses for these offices. 
Except in the situations described below, reports required by this 
chapter will be made to Litigation Division:
    (1) Actual or potential litigation (or administrative infringement 
claims) involving patents, copyrights, or trademarks will be made to 
Intellectual Property Law Division.
    (2) Reports of pending or prospective litigation involving taxation 
will be made to Contract Law Division.
    (3) Communications, transportation, and utility services reports 
will be made to Regulatory Law Office.
    (4) Reports involving environmental and natural resource litigation 
and administrative proceedings will be made to Environmental Law 
Division.
    (5) Potential civil recovery reports in cases of procurement fraud 
and corruption will be made to Procurement Fraud Division.
    (6) Reports involving the felony prosecution program and magistrate 
court prosecutions will be made to Criminal Law Division, OTJAG.
    (7) Cases before the Armed Services Board of Contract Appeals and 
the

[[Page 89]]

General Services Board of Contract Appeals will be made to Contract 
Appeals Division.
    (d) Classified information. Information required by this regulation 
will be submitted in an unclassified form if possible. If downgrading or 
declassification is not feasible, the classified material should be 
separated from the report and forwarded under separate cover.
    (e) Other reporting requirements. Reports required by this chapter 
are in addition to and do not satisfy any other reporting requirement, 
such as the following: notifying the FBI of offenses pursuant to AR 27-
10; submitting serious incident reports pursuant to AR 190-40; reporting 
procurement fraud or other irregularities per Defense Federal 
Acquisition Regulation Supplement, section 209.406-3 (48 CFR 209.406-3); 
reporting the exercise of criminal jurisdiction by foreign tribunals 
over U.S. personnel pursuant to AR 27-50; or, reporting bankruptcies per 
AR 37-103.
    (f) Reports control exemption. The reports required herein are 
exempt from reports control under AR 335-15, paragraphs 3-3a(5) and 5-
2e(4).



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

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



Sec. 516.17  SJA or legal adviser procedures.

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



Sec. 516.18  Litigation alleging individual liability.

    See subpart D for procedures to follow when DA personnel, as a 
result of

[[Page 90]]

performance of official duties, are either sued in their individual 
capacities or face criminal charges.



Sec. 516.19  Injunctive relief.

    (a) General. Plaintiffs may attempt to force government action or 
restraint in important operational matters or pending personnel actions 
through motions for temporary restraining orders (TRO) or preliminary 
injunctions (PI). Because these actions can quickly impede military 
functions, immediate and decisive action must be taken.
    (b) Notification to HQDA and U.S. Attorney. The SJA or legal adviser 
will immediately notify Litigation Division or other appropriate office 
at HQDA when a motion for TRO or PI has been, or is about to be, filed. 
The SJA or legal adviser will also notify the responsible U.S. Attorney.
    (c) Actions by SJA or legal adviser. The SJA or legal adviser will 
assist the DOJ or DA attorney responsible for the litigation. 
Installation attorneys or support personnel should begin accumulating 
relevant documentary evidence and identifying witnesses. If requested, 
installation attorneys will prepare a legal memorandum concerning the 
motion, giving particular attention to the following issues relevant to 
a court granting injunctive relief:
    (1) Plaintiff's likelihood of success on the merits.
    (2) Whether plaintiff will be irreparably harmed if injunctive 
relief is not granted.
    (3) Harm to defendant and other parties if injunctive relief is 
granted.
    (4) The public interest.



Sec. 516.20  Habeas Corpus.

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



Sec. 516.21  Litigation against government contractors.

    (a) General. A contract might require that the government reimburse 
a contractor (or subcontractor) for adverse judgments or litigation 
expenses. Unless a contractor or subcontractor facing a lawsuit requests 
representation

[[Page 91]]

by DOJ, the Army presumes the contractor will obtain private counsel to 
defend the case. If the contract so allows, however, the contractor may 
request and HQDA may recommend that DOJ represent the contractor if it 
is in the best interests of the United States.
    (b) Actions by SJA or legal adviser. If a contractor or 
subcontractor faces litigation and the underlying contract with the 
government requires reimbursement for adverse judgments or costs of the 
litigation, the SJA or legal adviser, through the contracting officer, 
should determine if the contractor desires representation by DOJ. If so, 
the contractor or authorized agent will sign a request for 
representation. (See figure D-3, appendix G, of this part.) The SJA or 
legal adviser will determine whether, in his opinion, representation by 
DOJ should be granted. He will prepare a memorandum to support his 
recommendation, especially concerning any issue regarding the 
government's obligation to reimburse the contractor under the contract. 
The SJA or legal adviser will forward his memorandum, along with the 
contractor's request, to Litigation Division.
    (c) Actions by Litigation Division. The Chief, Litigation Division, 
will evaluate the submission and decide if it is in the Army's best 
interest that the request be granted. He will prepare a memorandum 
supporting his decision and send the packet to DOJ. The Chief's decision 
constitutes the final DA position on the matter. If DOJ grants the 
contractor's request, the Chief, Litigation Division, will ensure that 
the contractor is notified through the SJA or legal adviser and the 
contracting officer.
    (d) Private Counsel. A contractor represented by DOJ may ask that 
private counsel assist the DOJ attorney in the litigation. The DOJ 
attorney will remain in control of the litigation, and the fees for 
private counsel will not be reimbursable except under unusual 
circumstances. The contractor must seek both DOJ and DA approval to 
employ private counsel when DOJ representation has been granted. Even if 
DOJ and DA grant authority to employ private counsel, the contracting 
officer will determine whether a contractor will be reimbursed under the 
contract for private counsel.
    (e) Settlement. The contractor, unless the contract specifies 
otherwise, will ultimately decide whether to compromise a suit. 
Reimbursement under the contract is determined by the contracting 
officer, with the advice of his attorney.



Sec. 516.22  Miscellaneous reporting requirements.

    SJAs or legal advisers will comply with the directives cited below 
concerning actual or prospective litigation involving the following 
types of cases:
    (a) Taxation.
    (1) Contractor transactions. (FAR and DFARS, 48 CFR parts 29 and 
229).
    (2) Army and Air Force Exchange Service (AAFES) activities. (AR 60-
20).
    (3) Purchase or sale of alcoholic beverages. (AR 215-2).
    (4) Nonappropriated fund and related activities. (AR 215-1).
    (b) Tort and contract claims, insurance and litigation involving 
nonappropriated fund activities. (AR 215-1).
    (c) Annexation of Army lands. (AR 405-25).
    (d) Communications, transportation, and utility services 
administrative proceedings. Any contracting officer or other Army 
official responsible for the acquisition of communications, 
transportation, utilities (gas, electric, water and sewer), or military 
mail services, who becomes aware of any action or proceeding of interest 
to the Army, will promptly refer the matter to the SJA or legal adviser, 
who will take the actions prescribed in Sec. 516.17 of this part. 
Examples of actions requiring referral follow: new or amended rates, 
regulations, or conditions of service; applications for authority to 
discontinue or initiate service; changes in electromagnetic patterns 
causing adverse communications interference; or, zoning proposals 
affecting historic or aesthetic preservation. In addition, the SJA or 
legal adviser will transmit the following to Regulatory Law Office:
    (1) The names and addresses of any parties intervening and the 
substance of their positions.
    (2) Names of government users affected by any change.

[[Page 92]]

    (3) Copy of any proposed rates, rules, or regulations.
    (4) A recommendation whether the Army should intervene in the action 
or proceeding. If intervention is recommended, provide a memorandum to 
support the recommendation.
    (e) Legal proceedings overseas. Foreign communications, 
transportation, and utility service proceedings need not be reported. In 
other legal proceedings instituted in a foreign country, the SJA or 
legal adviser will take the actions prescribed in Sec. 516.17 of this 
part.
    (f) Maritime claims. Admiralty and maritime claims within the 
purview of Chapter 8, AR 27-20, which have been investigated and 
processed under AR 55-19 or other applicable regulations, will be 
referred to USARCS.
    (g) Army and Air Force Exchange Service litigation. The SJA or legal 
adviser will send a copy of all documents relating to litigation against 
AAFES to General Counsel, AAFES, P.O. Box 660202, Dallas, TX 75266-0202.
    (h) Bankruptcy. Reports of bankruptcy or insolvency proceedings 
shall be made in accordance with this regulation and AR 37-103.



Sec. 516.23  Litigation reports.

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

[[Page 93]]

    (g) Distribution and number of copies. Unless HQDA directs 
otherwise, SJAs or legal advisers will mail (first class) an original 
and one copy of the litigation report to the responsible HQDA office 
(See Sec. 516.15 of this part) and one copy to the U.S. Attorney's 
Office handling the case. If possible, record the litigation report onto 
a magnetic diskette, using either WordPerfect, Enable, or ACSII, and 
send it to Litigation Division.



Sec. 516.24  Preservation of evidence.

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



Sec. 516.25  DA Form 4.

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



Sec. 516.26  Unsworn declarations under penalty of perjury.

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

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

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



                     Subpart D_Individual Liability



Sec. 516.27  Scope.

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



Sec. 516.28  Policy.

    (a) General. Commanders, supervisors, and SJAs or legal advisers 
will give highest priority to compliance with the requirements of this 
chapter with regard to current or former DA personnel who face criminal 
charges or

[[Page 94]]

civil litigation in their individual capacity as a result of performance 
of their official duties.
    (b) DOJ policy on representation. If in the best interest of the 
United States, upon request of the individual concerned, and upon 
certification by his agency that he was acting within the scope of his 
employment, DOJ may represent present and former DA personnel sued 
individually as a result of actions taken within the scope of their 
employment. Representation can be declined for a variety of reasons, 
including but not limited to the following: the employee was not acting 
within the scope of his office; there is a conflict of interest; or, 
actions were not taken in a good faith effort to conform to law.



Sec. 516.29  Federal statutes and regulations.

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



Sec. 516.30  Procedures for obtaining certification and DOJ representation.

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

[[Page 95]]

or legal adviser's conclusions concerning scope of employment; and, a 
recommendation whether certification by the Attorney General or 
representation by a DOJ attorney should be granted.
    (6) In cases involving National Guard personnel, address also the 
following: whether defendant was acting in a state (Title 32 U.S.C.) or 
Federal (Title 10 U.S.C.) capacity during relevant periods (include 
orders); if defendant was acting under state authority, is it 
nevertheless in the interest of the United States to represent the 
individual; any impact on policies or practices of DA, the National 
Guard Bureau, or DOD; whether the relief requested can be granted only 
by a Federal officer or agency; and, whether Federal law or regulation 
required actions by state officials.
    (7) Send the report, request for representation, and scope of 
employment statements to Chief, Litigation Division.
    (b) Chief, Litigation Division, procedures. The Chief, Litigation 
Division, will review the report and evidence regarding representation 
and scope of employment and will determine whether certification and 
representation are appropriate. He will send his recommendation to the 
appropriate U.S. Attorney or office within DOJ. The Chief, Litigation 
Division, will notify the defendant of DOJ's decision.



Sec. 516.31  Private counsel at government expense.

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



Sec. 516.32  Requests for indemnification.

    (a) Policy. An individual liable for a judgment rendered against him 
in his individual capacity has no right to reimbursement from DA. DA 
will consider, however, a request for indemnification from DA personnel 
where conduct within the scope of official duties has resulted in 
personal liability and indemnification is in the best interests of the 
United States. Indemnification is strictly contingent upon an 
appropriation to pay the judgment, as well as availability of such 
funds.
    (b) Individual request procedures. An individual against whom an 
adverse judgment has been rendered may request indemnification. The 
request

[[Page 96]]

must include, at a minimum, the following: how the employee was acting 
within the scope of his employment; whether the requestor has insurance 
or any other source of indemnification; and, how reimbursement is in the 
best interests of the United States. The request must also contain the 
following statements: ``I understand that acceptance of this request for 
indemnification for processing by DA does not constitute an acceptance 
of any obligation to make such a payment. I also understand that payment 
is contingent on availability of funds and that it will only be made if 
such is determined to be in the best interests of the United States.'' 
The individual should attach a copy of relevant documents, for example, 
court's opinion, judgment, and other allied papers.
    (c) Supervisory and SJA procedures. The request for indemnification 
will be submitted through supervisory channels to the local SJA or legal 
adviser. Each supervisor will make a recommendation on the propriety of 
reimbursement.
    (d) Chief, Litigation Division, procedures. Requests for 
indemnification will be forwarded to Chief, Litigation Division. The 
Chief, Litigation Division, will examine the submission and, after 
consultation with DOJ or other agencies, forward the packet with his 
recommendation to the Army General Counsel. The General Counsel will 
obtain a final decision by the Secretary of the Army or his designee on 
the matter. There is no administrative appeal of the Secretary's (or his 
designee's) decision.



Subpart E_Legal Proceedings Initiated by the United States Medical Care 
                           and Property Claims



Sec. 516.33  General.

    (a) Authorities.
    (1) Federal Medical Care Recovery Act (42 U.S.C. 2651). The act 
provides for the recovery of medical care expenses incurred because of a 
tortfeasor's actions.
    (2) Federal Claims Collection Act (31 U.S.C. 3711). The act provides 
for the collection of claims for money or property arising from the 
activities of Federal agencies.
    (3) Third-party Collection Program (10 U.S.C. 1095). The statute 
provides for collection of reasonable costs of health-care services, 
provided in facilities of the uniformed services to covered 
beneficiaries, from private insurers or third-party payers. In 
accordance with DOD Instruction 6010.15, ``Third Party Collection (TPC) 
Program,'' 7 March 1991, the authority to settle or waive a DOD claim 
under the act is delegated to TJAG or to his designee.
    (4) Executive Order No. 12778, (56 FR 55195; 3 CFR, 1991 Comp. p. 
359), Civil Justice Reform. This order establishes several requirements 
on Federal agencies involved in litigation or contemplating filing an 
action on behalf of the United States.
    (5) AR 27-20, Claims. Chapter l4 (Affirmative Claims) contains 
comprehensive guidance for Recovery Judge Advocates (RJAs) in the 
administrative determination, assertion, collection, settlement, and 
waiver of claims in favor of the U.S. for property damage and for 
medical care claims.
    (b) Duties and Procedures. In accordance with Chapter 14, AR 27-20, 
Commander, USARCS, has supervisory responsibility over the 
administrative processing of property and medical care claims by RJAs. 
The Commander, U.S. Army Health Services Command (HSC), has supervisory 
responsibility over the Third Party Collection Program (TPCP). The HSC 
TPCP Implementation Plan effects DOD Instruction 6010.15 and establishes 
procedures for processing TPC claims. Litigation Division, in 
conjunction with DOJ and U.S. Attorneys, is responsible for pursuing, 
through litigation, claims not resolved administratively. DOJ is 
ultimately responsible for initiating litigation for the United States. 
(28 U.S.C. 515).
    (c) Assertion of claims on behalf of the United States by private 
attorneys. The Army incurs potentially recoverable expenses when it 
provides medical care to soldiers or dependents injured by tortfeasors 
(for example, a soldier is hospitalized after an automobile accident). 
When injured personnel employ a private attorney to sue the tortfeasor,

[[Page 97]]

it may be in the Government's best interests to enter into an agreement 
with the private attorney to include the Army's medical care claim.
    (d) Statute of limitations. There is a three year statute of 
limitations for actions in favor of the U.S. for money damages founded 
upon tort. (28 U.S.C. 2415(b)). Limitations periods can vary, however, 
depending upon the theory of liability and the jurisdiction involved. 
RJAs must be alert to the applicable period of limitations. A case 
referred for litigation should arrive at Litigation Division at least 6 
months before the expiration of the limitations period.
    (e) Reporting of recoveries. Amounts recovered through litigation 
will be reported to USARCS by Tort Branch, Litigation Division, or, 
where referred directly to a U.S. Attorney or the Nationwide Central 
Intake Facility (NCIF), by the responsible RJA.



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

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



Sec. 516.35  Preparation of claims for litigation.

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

                        Assertion of Other Claims



Sec. 516.36  Referral to Litigation Division.

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

[[Page 98]]



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

    (a) General. U.S. Attorneys are authorized to accept a Federal 
agency's request for the following purposes: to initiate an action to 
recover possession of real property from tenants, trespassers, and 
others; to enjoin trespasses on Federal property; and, to collect 
delinquent rentals or damages for use and occupancy of real property for 
amounts less than $200,000.
    (b) Procedures. When eviction or an action to collect delinquent 
rent is necessary, the SJA or legal adviser will notify General 
Litigation Branch, Litigation Division, of the situation. If approved by 
Litigation Division, the SJA or legal adviser may ask the U.S. Attorney 
to file suit. A copy of the complaint will be sent to Litigation 
Division. DOJ can take action to evict the occupants for violation of 
the terms of occupancy and collect delinquent rent or other charges. 
Once the matter has been referred to the U.S. Attorney, payments for 
rent should be sent to the U.S. Attorney. (See AR 210-50, chap 2.)



                   Subpart F_Environmental Litigation



Sec. 516.38  Scope.

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



Sec. 516.39  Duties and procedures.

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

[[Page 99]]

    (2) The Chief Counsel, COE, will conduct direct liaison with DOJ and 
represent DA in all civil litigation seeking declaratory or injunctive 
relief or involving claims of Army liability for the costs of response 
at civil works facilities, at former defense sites or at other sites 
where the Army is a potentially responsible party due to the response 
actions of the COE or its contractors.
    (f) Fish and Wildlife, and Plants. Environmental Law Division will 
conduct direct liaison with DOJ and represent DA in civil litigation 
involving citizen or State enforcement of applicable State, Federal, and 
local laws governing conservation of plant, fish, and wildlife resources 
at Federal facilities owned or controlled by DA, except that such 
litigation relating solely to the real estate, civil works, navigation 
and Clean Water Act section 404 (See 33 U.S.C. 1344) permit functions 
and activities of the COE will be handled by attorneys under the 
technical supervision of the Chief Counsel, COE.
    (g) Toxic torts.
    (1) Except as otherwise provided in this part, Environmental Law 
Division will conduct direct liaison with DOJ and represent DA in all 
civil litigation involving claims of tort liability for exposure to 
environmental contamination emanating from Federal facilities owned or 
controlled by DA.
    (2) Litigation Division will conduct liaison with DOJ and represent 
DA in civil litigation involving claims of tort liability for singular 
and discrete incidents of exposure to environmental contamination 
emanating from any Federal facility owned or controlled by DA.
    (3) The Chief Counsel, COE, will conduct direct liaison with DOJ and 
will represent DA in civil litigation involving claims of tort liability 
for exposure to environmental contamination (including singular and 
discrete incidents) emanating from any civil works activities under the 
jurisdiction of the Secretary of the Army.
    (4) The Chief Counsel, COE, and Chief, Environmental Law Division, 
will confer and jointly determine which office will conduct direct 
liaison with DOJ and represent DA in civil litigation involving all 
other claims of toxic tort liability.



   Subpart G_Release of Information and Appearance of Witnesses Scope



Sec. 516.40  General.

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



Sec. 516.41  Policy.

    (a) General Rule. Except as authorized by this subpart, present or 
former DA personnel will not disclose official information (See appendix 
F--Glossary) in response to subpoenas, court orders, or requests.
    (b) Exception. Present or former DA personnel may disclose official 
information if they obtain the written approval of the appropriate SJA, 
legal adviser, or Litigation Division.
    (c) Referral to deciding official. If present or former DA personnel 
receive a subpoena, court order, request for attendance at a judicial or 
quasi-judicial proceeding, or request for an interview related to actual 
or potential litigation, and it appears the subpoena, order, or request 
seeks disclosures described in a above, the individual

[[Page 100]]

should immediately advise the appropriate SJA or legal adviser. If the 
SJA or legal adviser cannot informally satisfy the subpoena, order, or 
request in accordance with Sec. Sec. 516.43 through 516.50 of this 
subpart, he should consult with Litigation Division.
    (d) Requesters' responsibilities. Individuals seeking official 
information must submit, at least 14 days before the desired date of 
production, a specific written request setting forth the nature and 
relevance of the official information sought. (Requesters can be 
referred to this subpart G). Subject to Sec. 516.47(a), present and 
former DA personnel may only produce, disclose, release, comment upon, 
or testify concerning those matters specified in writing and properly 
approved by the SJA, legal adviser, or Litigation Division. (See United 
States ex. rel. Touhy v. Ragen, 340 U.S. 462 (1951)).
    (e) Litigation in which the United States has an interest. If a 
subpoena, order, or request relates to litigation in which the United 
States has an interest and for which litigation responsibility has not 
been delegated, the SJA or legal adviser will coordinate with Litigation 
Division under Sec. 516.42.
    (f) Motions to stay or quash subpoenas. A subpoena should never be 
ignored, and an SJA or legal adviser should seek assistance from 
Litigation Division or the U.S. Attorney's office whenever necessary. If 
a response to a subpoena or order is required before a release 
determination can be made or before Litigation Division or the U.S. 
Attorney can be contacted, the SJA or legal adviser will do the 
following:
    (1) Furnish the court or tribunal a copy of this regulation (32 CFR 
part 516, subpart G) and applicable case law (See United States ex. rel. 
Touhy v. Ragen, 340 U.S. 462 (1951));
    (2) Inform the court or tribunal that the requesting individual has 
not complied with this Chapter, as set out in 32 CFR 97 & 516, or that 
the subpoena or order is being reviewed;
    (3) Seek to stay the subpoena or order pending the requestor's 
compliance with this chapter or final determination by Litigation 
Division; and,
    (4) If the court or other tribunal declines to quash or stay the 
subpoena or order, inform Litigation Division immediately so a decision 
can be made whether to challenge the subpoena or order. If Litigation 
Division decides not to challenge the subpoena or order, the affected 
personnel will comply with the subpoena or order. If Litigation Division 
decides to challenge the subpoena or order, it will direct the affected 
personnel to respectfully decline to comply with the subpoena or order. 
(See United States ex. rel. Touhy v. Ragen, 340 U.S. 462 (1951)).
    (g) Classified or sensitive information. Only Litigation Division 
may authorize the release of official information or appearance of DA 
personnel as witnesses in litigation involving terrorism, espionage, 
nuclear weapons, or intelligence sources and methods.
    (h) Requests for Inspector General records or testimony. IG records, 
and information obtained through performance of IG duties, are official 
information under the exclusive control of the Secretary of the Army. 
(See AR 20-l, Chapter 3.) IG records frequently contain sensitive 
official information that may be classified or obtained under guarantees 
of confidentiality. When justification exists, DA attorneys will seek 
court protection from disclosure of IG records and information. No DA 
personnel will release IG records or disclose information obtained 
through performance of IG duties without the approval of The Secretary 
of the Army, The Inspector General, TIG Legal Advisor, or Chief, 
Litigation Division. When IG personnel receive a subpoena, court order, 
request for attendance at a judicial or quasi-judicial proceeding, or a 
request for an interview which the IG reasonably believes is related to 
actual or potential litigation concerning IG records or related 
information, they should immediately notify the Inspector General Legal 
Adviser or the Chief, Litigation Division. IG personnel will follow the 
guidance of this subpart concerning actions to be taken regarding 
disclosure and testimony.



Sec. 516.42  Reference to HQDA.

    (a) General. If the SJA or legal adviser is unable to resolve the 
matter, it will be referred for approval or action by Litigation 
Division under this chapter, by the most expeditious means, to General 
Litigation Branch, Litigation

[[Page 101]]

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

            Release of Records in Connection With Litigation



Sec. 516.43  Release of Army and other agency records.

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



Sec. 516.44  Determination of release authorization.

    (a) Policy. DA policy is to make official information reasonably 
available for use in Federal and state courts and by other governmental 
bodies unless

[[Page 102]]

the information is classified, privileged, or otherwise protected from 
public disclosure.
    (b) Releasability factors. In deciding whether to authorize release 
of official information, the deciding official should consider the 
following:
    (1) Has the requester complied with DA policy governing the release 
of official documents in Sec. 516.41(d) of this part.
    (2) Is the request unduly burdensome or otherwise inappropriate 
under the applicable court rules?
    (3) Is the disclosure appropriate under the rules of procedure 
governing the matter in which the request arose?
    (4) Would the disclosure violate a statute, executive order, 
regulation, or directive?
    (5) Is the disclosure appropriate under the relevant substantive law 
concerning privilege?
    (6) Would the disclosure reveal information properly classified 
pursuant to the DOD Information Security Program under AR 380-5, 
unclassified technical data withheld from public release pursuant to 32 
CFR Sec. 250, or other matters exempt from unrestricted disclosure?
    (7) Would disclosure interfere with ongoing enforcement proceedings, 
compromise constitutional rights, reveal the identity of an intelligence 
source or confidential informant, disclose trade secrets or confidential 
commercial or financial information, or, otherwise be inappropriate 
under the circumstances?
    (8) Would the disclosure violate any person's expectation of 
confidentiality or privacy?



Sec. 516.45  Records determined to be releasable.

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



Sec. 516.46  Records determined not to be releasable.

    (a) General. If the deciding official, after considering the factors 
in Sec. 516.44, determines that all or part of requested official 
records should not be released, he will promptly communicate directly 
with the attorney or individual who caused the issuance of the subpoena, 
order, or request and seek to resolve the matter informally. If the 
subpoena or order is invalid, he should explain the basis of the 
invalidity. The deciding official should also explain why the records 
requested are privileged from release. The deciding official should 
attempt to obtain the agreement of the requester to withdraw the 
subpoena, order, or request or to modify the subpoena, order, or request 
so that it pertains only to records which may be released. (See figure 
G-1, appendix G, of this part.)
    (b) Information protected by the Privacy Act.
    (1) A subpoena duces tecum or other legal process signed by an 
attorney or clerk of court for records protected by the Privacy Act, 5 
U.S.C. 552a, does not justify the release of the protected records. The 
deciding official should explain to the requester that the Privacy Act 
precludes disclosure of records in a system of records without the 
written consent of the subject of the records or ``pursuant to the order 
of a court of competent jurisdiction.'' (See 5 U.S.C. 552a(b)(11)). An 
``order of the court'' for the purpose of subsection 5 U.S.C. 
552a(b)(11) is an order or writ requiring the production of the records, 
signed by a judge or magistrate.
    (2) Unclassified records otherwise privileged from release under 5 
U.S.C. 552a may be released to the court under either of the following 
conditions:
    (i) The subpoena is accompanied by an order signed by a judge or 
magistrate, or such order is separately served, that orders the person 
to whom the records pertain to release the specific records, or that 
orders copies of the records be delivered to the clerk of court, and 
indicates that the court has determined the materiality of the records 
and the nonavailability of a claim of privilege.
    (ii) The clerk of the court is empowered by local statute or 
practice to receive the records under seal subject to request that they 
be withheld from the parties until the court determines whether the 
records are material to the

[[Page 103]]

issues and until any question of privilege is resolved.
    (iii) Subpoenas for alcohol abuse or drug abuse treatment records 
must be processed under 42 U.S.C. 290dd-3 and 290ee-3, and Public Health 
Service regulations published at 42 CFR 2.1-2.67.
    (iv) Upon request, SJAs and legal advisers may furnish to the 
attorney for the injured party or the tortfeasor's attorney or insurance 
company a copy of the narrative summary of medical care that relates to 
a claim under subpart E of this part. If additional medical records are 
requested, only those that directly pertain to the pending action will 
be furnished. If furnishing copies of medical records would prejudice 
the cause of action, the matter will be reported to Litigation Division.
    (c) Referral to Litigation Division. If the SJA or legal adviser is 
not able to resolve a request for Army records informally, he should 
contact Litigation Division.
    (1) Litigation Division may respond to subpoenas or orders for 
records privileged from release by informing the local U.S. Attorney 
about the subpoena and requesting that office file a motion to quash the 
subpoena or a motion for a protective order. The records privileged from 
release should be retained by the custodian pending the court's ruling 
upon the government's motion.
    (2) When a motion to quash or for a protective order is not filed, 
or the motion is unsuccessful, and the appropriate DA official has 
determined that no further efforts will be made to protect the records, 
copies of the records (authenticated if necessary) will be submitted to 
the court (or to the clerk of court) in response to the subpoena or 
order.
    (d) Classified and privileged materials. Requests from DOJ, U.S. 
Attorneys, or attorneys for other governmental entities for records 
which are classified or otherwise privileged from release will be 
referred to Litigation Division. (See Sec. 516.41(g).

             DA Personnel as Witnesses in Private Litigation



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

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



Sec. 516.48  Official information.

    (a) In instances involving Sec. 516.47(a)(1), the matter will be 
referred to the SJA or legal adviser serving the organization of the 
individual whose testimony is requested, or to HQDA pursuant to Sec. 
516.47(a). The deciding official will determine whether to release the 
information sought under the principles established in Sec. 516.44. If 
funding by the United States is requested, see Sec. 516.55(d).
    (b) If the deciding official determines that the information may be 
released,

[[Page 104]]

the individual will be permitted to be interviewed, deposed, or to 
appear as a witness in court provided such interview or appearance is 
consistent with the requirements of Sec. Sec. 516.49 and 516.50. (See, 
for example, figure G-2, appendix G, to this part). A JA or DA civilian 
attorney should be present during any interview or testimony to act as 
legal representative of the Army. If a question seeks information not 
previously authorized for release, the legal representative will advise 
the witness not to answer. If necessary to avoid release of the 
information, the legal representative will advise the witness to 
terminate the interview or deposition, or in the case of testimony in 
court, advise the judge that DOD directives and Army regulations 
preclude the witness from answering without HQDA approval. Every effort 
should be made, however, to substitute releasable information and to 
continue the interview or testimony.



Sec. 516.49  Expert witnesses.

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



Sec. 516.50  Interference with mission.

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

[[Page 105]]

          Litigation in Which the United States Has an Interest



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

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



Sec. 516.52  Expert witnesses.

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



Sec. 516.53  News media and other inquiries.

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

                Status, Travel, and Expenses of Witnesses



Sec. 516.54  Witnesses for the United States.

    (a) Status of witness. A military member authorized to appear as a 
witness for the United States, including those authorized to appear 
under Sec. 516.55(d), will be placed on temporary duty. If USAR or NG 
personnel are requested as witnesses for the United States, and if their 
testimony arises from their active duty service, they should be placed 
on active duty to testify. The status of a civilian employee will be 
determined under Federal Personnel Manual 630, subchapter 10. DA 
personnel who appear as necessary witnesses for a party asserting the 
government's claim for medical care expenses are witnesses for the 
United States.
    (b) Travel arrangements. Travel arrangements for witnesses for the 
United States normally are made by DOJ through Litigation Division for 
other than local travel. Litigation Division will issue instructions for 
this travel, including fund citation, to the appropriate commander. A 
U.S. Attorney, or an attorney asserting the government's medical care 
claim under subpart E, may make arrangements for local travel through 
the SJA or legal adviser for attendance of a witness who is stationed at 
an installation within the same judicial district, or not more than 100 
miles from the place where testifying. Other requests, including those 
under Sec. 516.55(d), will be referred to Litigation Division. The 
instructions from Litigation Division, or the request from the U.S. 
Attorney or the attorney asserting the government's claim, will serve as 
a basis for the issuance of appropriate travel orders by the local 
commander.
    (c) Travel and per diem expenses. The witness' commander or 
supervisor should ensure the witness has sufficient funds to defray 
expenses. The

[[Page 106]]

SJA or legal adviser will provide assistance.
    (1) Where local travel is performed at the request of a U.S. 
Attorney and the testimony does not involve information acquired in the 
performance of duties, transportation arrangements and any per diem 
expenses are the responsibility of the U.S. Attorney.
    (2) An attorney asserting the government's medical care or property 
claim may be required to advance local travel expense money to the 
witness requested and to include these in recoverable costs where the 
government's claim is not large enough to justify expenditures of 
government travel funds.
    (3) Other local travel and per diem expense for cases involving Army 
activities or claims are proper expenses of the command issuing the 
orders.
    (4) Litigation Division will furnish travel expense and per diem 
funds for other than local travel and will receive reimbursement from 
DOJ or other government agencies as appropriate.



Sec. 516.55  Witnesses for a State or private litigant.

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



Sec. 516.56  Witnesses before foreign tribunals.

    (a) Referral to the SJA. Requests or subpoenas from a foreign 
government or tribunal for present DA personnel stationed or employed 
within that country to be interviewed or to appear as witnesses will be 
forwarded to the SJA of the command exercising general court-martial 
jurisdiction over the unit to which the individual is assigned, 
attached, or employed. The SJA will determine the following:
    (1) Whether a consideration listed in Sec. 516.47(a)(1) through 
(a)(3) applies.
    (2) Whether the information requested is releasable under the 
principles established in Sec. 516.43 through Sec.  516.46.
    (3) Whether the approval of the American Embassy should be obtained 
because the person is attached to the Embassy staff or a question of 
diplomatic immunity may be involved.

[[Page 107]]

    (b) United States has an interest in the litigation. If the SJA 
determines that the United States has an interest in the litigation, the 
commander may authorize the interview or order the individual's 
attendance in a temporary duty status. The United States will be deemed 
to have an interest in the litigation if it is bound by treaty or other 
international agreement to ensure the attendance of such personnel.
    (c) United States has no interest in the litigation. If the SJA 
determines that the United States does not have an interest in the 
litigation, the commander may authorize the interview or the appearance 
of the witness under the principles established in Sec. 516.47 through 
Sec. 516.50.
    (d) Witnesses located outside the requester's country. If the 
requested witness is stationed in a country other than the requester's, 
the matter will be referred to Litigation Division.



         Subpart H_Remedies in Procurement Fraud and Corruption



Sec. 516.57  Purpose.

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



Sec. 516.58  Policies.

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



Sec. 516.59  Duties and procedures.

    (a) TJAG has overall responsibility for the coordination of remedies 
in procurement fraud and corruption within the Army. This responsibility 
has been delegated to PFD. Functions of PFD will include the following:
    (1) Serving as the single centralized organization in the Army to 
monitor the status of, and ensure the coordination of, criminal, civil, 
contractual, and administrative remedies for each significant case of 
fraud or corruption.
    (2) Receiving reports of procurement fraud and corruption from any 
source including, but not limited to the following: DOD criminal 
investigative organizations; audit agencies; contracting officers; 
inspectors general of the executive branch; correspondence from the 
public; and, commanders. This provision does not repeal any other 
reporting requirement but establishes PFD as a recipient of PFI 
information at the earliest possible time.
    (3) Establishing a monitoring system within OTJAG for all cases of 
fraud

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

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the head of the contracting agency, appropriate commanders, and staff 
agencies. Some examples of adverse impact on a DOD mission are 
endangerment of personnel or property, monetary loss, compromise of the 
procurement process, or reduction or loss of mission readiness.
    (7) Discuss regularly with Procurement Fraud Advisers the status of 
significant investigations of fraud or corruption and their coordination 
with prosecutive authorities and provide documents and reports resulting 
from the investigations.
    (c) Commanders of service schools conducting procurement or 
procurement-related training (such as The Judge Advocate General's 
School, the U.S. Military Police School, and the U.S. Army Logistics 
Management Center) will ensure the following:
    (1) All procurement and procurement-related training includes a 
period of instruction on fraud and corruption in the procurement 
process. The length of the period of instruction will be appropriate to 
the duration and nature of the training.
    (2) Training materials are developed to support that training.
    (3) Training materials developed will be sent to MACOM PFI 
Coordinators.
    (d) MACOM commanders and heads of contracting activities will ensure 
the following:
    (1) Substantial indications of fraud or corruption relating to Army 
contracts or Army administered contracts are reported promptly to the 
supporting USACIDC element and the Procurement Fraud Division.
    (2) Information provided includes reports by contracting officers 
under DFARS 209.406-3.



Sec. 516.60  Procurement fraud and irregularities programs at MACOMs.

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



Sec. 516.61  Reporting requirements.

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

Any of the above categories that cannot be completed will be annotated 
as ``unknown at present.''

[[Page 110]]

    (c) When a report is required by DFARS or is requested by PFD, the 
provisions of DFARS 209.406-3 (48 CFR 209.406-3) will be followed. That 
paragraph provides the basic content and format for PFI reports.
    (d) All personnel will cooperate to ensure that investigations and 
prosecutions of procurement fraud are completed in a timely and thorough 
manner. Requests for assistance from federal prosecutors should be 
processed through the local PFA whenever possible. Requests for federal 
investigators will be processed through the supporting USACIDC and the 
PFA will be notified. When the conduct of criminal investigations and 
prosecutions conflict with the progress of procurements, reasonable 
deference will be given to criminal investigators and prosecutors 
whenever possible. Any serious conflict that cannot be resolved at a 
local level will be immediately reported to the PFI Coordinator or PFD 
for action.
    (e) PFI Coordinators and PFAs may request access to information 
obtained during criminal investigations that is not protected by Fed. R. 
Crim. P. 6(e) and use this information to assist them in taking 
appropriate administrative, contractual, and civil remedies. Requests 
for this information should be made directly to the appropriate federal 
investigative agency. The investigative organization may withhold 
requested information if release would compromise an investigation. 
Difficulties in obtaining information which cannot be resolved locally 
will be referred to PFD for appropriate action.
    (f) USACIDC will notify, in writing, local PFAs as well as PFD 
within 30 days, of initiation of a significant investigation of fraud or 
corruption related to Army procurement activities. Such notification 
will include the following:
    (1) Case title.
    (2) USACIDC Report of Investigation number.
    (3) Responsible investigative agency or agencies.
    (4) Office of primary responsibility.
    (5) Date opened.
    (6) Summary of facts.
    (7) Suspected offense.
    (g) The transmission of the information in f above may be delayed if 
the Commanding General, USACIDC, or the head of another DOD criminal 
investigation organization determines the transmission would compromise 
the success of any case or its prosecution. The prosecutive authorities 
dealing with the case will be consulted, when appropriate, in making 
such determinations.
    (h) USACIDC will obtain the following information at the earliest 
possible point in an investigation of fraud or corruption that relates 
to DOD procurement activities, whenever possible without reliance on 
grand jury subpoenas:
    (1) The individuals suspected to be responsible.
    (2) The suspected firm's organizational structure.
    (3) The firm's financial and contract history.
    (4) The firm's organizational documents and records.
    (5) Statements of witnesses.
    (6) Monetary loss to the government.
    (7) Other relevant information.
    This information will be provided to PFD or other cognizant DOD 
centralized organization.
    (i) PFD will provide written notification to the Defense 
Investigative Service of all suspension or debarment actions taken by 
the Army.



Sec. 516.62  PFD and HQ USACIDC coordination.

    PFD and HQ USACIDC will coordinate as follows:
    (a) Discuss the status of significant procurement fraud or 
corruption investigations being conducted by USACIDC and possible 
remedies. These discussions should take place on a regular basis.
    (b) Discuss the coordination of possible criminal, civil, 
contractual, or administrative remedies with prosecutive authorities.
    (c) PFD will maintain liaison with other DOD centralized 
organizations and will coordinate remedies with those centralized 
organizations affected by a significant investigation of fraud or 
corruption that relates to DOD procurement activities.

[[Page 111]]

    (d) Ascertain the effect on any ongoing investigation of the 
initiation of civil, contractual, or administrative remedies as follows:
    (1) PFD will maintain liaison with USACIDC and other DOD criminal 
investigative organizations in order to determine the advisability of 
initiating any civil, contractual, or administrative actions.
    (2) USACIDC will advise PFD of any adverse effect on an 
investigation or prosecution by the initiation of civil, contractual, or 
administrative actions.



Sec. 516.63  Coordination with DOJ.

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



Sec. 516.64  Comprehensive remedies plan.

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

[[Page 112]]

comply with figure H-3, appendix G, to this part.



Sec. 516.65  Litigation reports in civil recovery cases.

    (a) All substantiated PFI cases will be evaluated by PFAs to 
determine whether it is appropriate to recommend civil recovery 
proceedings.
    (b) Recovery should be considered under both statutory and common 
law theories, including but not limited to the following:
    (1) False Claims Act, 31 USC 3729.
    (2) Anti-Kickback Act, 41 USC 51.
    (3) Sherman Act, 15 USC 1-7.
    (4) Racketeer Influenced and Corrupt Organizations Act, 18 USC 1961-
1968.
    (5) Common law fraud.
    (6) Unjust enrichment.
    (7) Constructive trust.
    (8) Cases where contracts have been procured in violation of the 
conflict of interest statute, 18 USC 218. See K&R Engineering Co. v. 
United States, 616 F.2d 469 (Ct. Cl., 1980).
    (c) When civil recovery appears possible, PFD should be consulted to 
determine if a litigation report is necessary. If requested by PFD, the 
report should summarize the available evidence and applicable theories 
of recovery and be prepared under Sec. 516.23 of this part. To avoid 
unnecessary duplication of effort, recovery reports may include and make 
liberal references to other reports previously prepared on a given case 
such as the DFARS 209.406-3 (48 CFR 209.406-3) report.
    (d) The MACOM PFI coordinator and PFA will monitor all civil fraud 
recovery efforts throughout the command and will provide training and 
technical assistance as required. Status reports of all civil fraud 
recovery efforts will be provided through channels as required by PFD.



Sec. 516.66  Administrative and contractual actions.

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



Sec. 516.67  Overseas cases of fraud or corruption.

    (a) Commanders of overseas major commands will establish procedures, 
similar to this regulation and consistent with the DFARS, and 
regulations and directives of their respective unified commands, for 
reporting and coordination of available remedies in overseas procurement 
fraud and corruption cases involving foreign firms and individuals. 
Overseas major commands will also maintain liaison with

[[Page 113]]

PFD and provide periodic reports of remedies coordination results.
    (b) Overseas suspension and debarment actions are governed by DFARS 
209.403 (48 CFR 209.403). The names of all firms and individuals 
suspended or debarred will be expeditiously forwarded to PFD for 
inclusion on the List of Parties Excluded From Federal Procurement or 
NonProcurement Programs.
    (c) Overseas cases of fraud or corruption related to the procurement 
process that involve U.S. firms or U.S. citizens may be referred to PFD 
for coordination of remedies under this regulation.



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

    (a) PFCRA was enacted on 21 October 1986 (Public Law 99-509) and 
implemented by DOD on 30 August 1988 (DOD Directive 5505.5). (See 
appendix E to this part.)
    (b) PFCRA expands the capability of the government to deter and 
recover losses from false, fictitious or fraudulent claims and 
statements. It is also applicable to program fraud and provides an 
administrative remedy in addition to those otherwise available to the 
Army in procurement fraud or pay and entitlements fraud cases.
    (c) As part of the Army implementation, the Secretary of the Army's 
duties and responsibilities under PFCRA as Authority Head are delegated 
to the Army General Counsel. The Chief, Intellectual Property Law 
Division, is the Army's Reviewing Official within the meaning of PFCRA. 
Army implementation also requires DA to follow the policies and 
procedures prescribed in enclosure 2 of DOD Directive 5505.5. (See 
appendix E to this part.)
    (d) The DOD Inspector General (IG) is the Investigating Official 
within DOD. The duties of this position will be performed by the 
Assistant IG For Investigations. This individual is vested with the 
authority to investigate all allegations of liability under PFCRA. That 
authority includes the power to task subordinate investigative agencies 
to review and report on allegations that are subject to PFCRA. If the 
Investigative Official concludes that an action under PFCRA is warranted 
in an Army case, the official will submit a report containing the 
findings and conclusions of such investigation through PFD to the Army 
Reviewing Official.
    (e) Pursuant to DOD IG guidance, USACIDC will forward appropriate 
cases that appear to qualify for resolution under PFCRA to the 
Investigating Official in a timely manner. Additionally, USACIDC will 
forward current information regarding the status of remedies pending or 
concluded. USACIDC may obtain remedies information by coordinating with 
PFD and the cognizant command.
    (f) In pay and entitlement or transportation operation fraud cases, 
USACIDC will coordinate with the Office of the Secretary of the Army, 
Financial Management, Review and Oversight Directorate (SAFM-RO), to 
determine the status of any pending or proposed action under the Debt 
Collection Act. This information, in addition to information obtained 
under Sec. 517.68(e), will be forwarded with appropriate cases to the 
Investigating Official.
    (g) In those cases where the Investigating Official has submitted a 
report to the Army Reviewing Official for action under PFCRA, PFD will, 
at the direction of the Reviewing Official, prepare all legal memoranda 
as necessary to transmit the Reviewing Official's intention to issue a 
complaint. As part of this responsibility PFD will do the following: 
coordinate with the affected command or agency to ensure that all 
appropriate remedies have been considered; evaluate the overall 
potential benefits to the Army; and, ensure that action under PFCRA is 
not duplicative of other remedies already taken. In order to fully 
supplement the Reviewing Official's file, PFD may request a litigation 
report.
    (h) PFD will coordinate all cases involving transportation 
operations emanating from Military Traffic Management Command (MTMC) 
activity, under the military transportation exception to the FAR, and 
all cases involving pay and entitlements fraud with SAFM-RO, for 
comments and recommendations. These matters will be forwarded with the 
case file to the Reviewing Official.
    (i) If the Attorney General approves the issuance of a complaint, 
PFD, at

[[Page 114]]

the direction of the Army Reviewing Official, shall prepare the 
complaint and all necessary memoranda as required. PFD shall also 
designate attorneys to represent the Authority in hearings under PFCRA.



        Subpart I_Cooperation With the Office of Special Counsel



Sec. 516.69  Introduction.

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



Sec. 516.70  Policy.

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



Sec. 516.71  Duties.

    (a) DA General Counsel. The DA General Counsel is responsible for 
the following:
    (1) Provide overall guidance on all issues concerning cooperation 
with OSC, including the investigation of alleged prohibited personnel 
practices and allegations of improper or illegal conduct.
    (2) Review for adequacy and legal sufficiency each OSC report of 
investigation that must be personally reviewed by the Secretary of the 
Army.
    (3) Ensure compliance with the Civil Service Reform Act of 1978 by 
obtaining a suitable investigation of allegations of improper or illegal 
conduct received from OSC. This includes compliance with time limits for 
reporting results of the investigation and personal review of the report 
by the Secretary of the Army when required.
    (4) Forward to the DOD Inspector General (DODIG) copies of each 
allegation of improper or illegal conduct referred to DA by OSC.
    (5) Delegate to The Judge Advocate General the authority to act on 
behalf of the DA General Counsel in all OSC investigations of prohibited 
personnel practices.
    (6) Act upon requests for counsel from ``accused'' or ``suspected'' 
employees.
    (b) Chief, Labor and Employment Law Office. The Chief, Labor and 
Employment Law Office, OTJAG (DAJA-LE) is responsible for the following:
    (1) Act for TJAG as the Senior Management Official in cooperating 
with OSC. As Senior Management Official, the Chief, DAJA-LE, through 
TJAG, will be responsible to the DA General Counsel for administration 
of the policies and procedures contained in this chapter.
    (2) Promptly inform the DA General Counsel of any OSC investigation 
and consult with the DA General Counsel on any legal or policy issue 
arising from an OSC investigation.
    (3) Serve as the HQDA point of contact in providing assistance to 
OSC.
    (4) Act as DA attorney-of-record in administrative matters initiated 
by OSC before the MSPB which arise from an OSC investigation. As DA 
attorney-of-record, the Chief, DAJA-LE, will file necessary pleadings 
and make necessary appearances before the MSPB to represent DA 
interests.
    (5) Monitor ongoing OSC investigations within DA.
    (6) Ensure that appropriate DA personnel are fully apprised of their

[[Page 115]]

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



Sec. 516.72  Procedures.

    (a) Witnesses and counsel for consultation.
    (1) DA military and civilian managers, supervisors, and employees 
who are requested by OSC for an interview will be made available in 
accordance with arrangements the Labor Counselor will establish. 
Requests for the testimony of IGs will be coordinated with the Inspector 
General Legal Office, SAIG-ZXL, DSN 227-9734 or Commercial (703) 697-
9734.
    (2) The Labor Counselor will ensure that witnesses are aware of 
their obligation to answer OSC questions, their potential to be 
considered ``suspects'' in OSC investigations, and their right to the 
assistance of counsel during interviews with OSC representatives. If the 
requested witness is not an ``accused'' or ``suspected'' individual and 
the witness asks for assistance of counsel, a DA attorney will be made 
available for the limited purpose of consultation regarding the witness' 
rights and obligations. An attorney-client relationship will not be 
established. (See appendix F to this part).
    (3) The Labor Counselor will arrange for individual counsel for 
consultation from local assets. If local assets are not sufficient, 
assistance may be requested from other DOD activities in the area or 
from HQDA, DAJA-LE. DA attorneys tasked to consult with one or more 
witnesses individually will not be tasked to represent the DA activity 
concerned.

[[Page 116]]

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



Sec. 516.73  Assistance from HQDA.

    Labor Counselors may seek guidance on questions arising from 
implementation of this chapter by calling the

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Chief, DAJA-LE, DSN 225-9476/9481 or Commercial (703) 695-9476/9481.



     Subpart J_Soldiers Summoned To Serve on State and Local Juries



Sec. 516.74  General.

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



Sec. 516.75  Policy.

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



Sec. 516.76  Exemption determination authority.

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



Sec. 516.77  Procedures for exemption.

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

[[Page 118]]

the soldier is exempt. His determination is final.
    (d) The exemption determination authority will notify responsible 
state or local officials whenever a soldier summoned for jury duty is 
exempt. The notification will cite 10 U.S.C. 982 as authority.



Sec. 516.78  Status, fees, and expenses.

    (a) Soldiers who are required to comply with summons to serve on 
state or local juries will be placed on permissive TDY under the 
provisions of AR 630-5.
    (b) Jury fees accruing to soldiers for complying with the summons to 
serve on state and local juries must be turned over to the appropriate 
finance office for deposit into the U.S. Treasury. Commands will 
establish procedures with local authorities and their servicing finance 
and accounting activity to ensure that such jury fees are so deposited. 
Soldiers, however, may keep any reimbursement from state or local 
authority for expenses incurred in the performance of jury duty, 
including transportation, meals, and parking.

                   Appendix A to Part 516--References

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

                          Required Publications

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

                          Related Publications

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

                             Prescribed Form

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

                            Referenced Forms

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

[[Page 119]]

                Appendix B to Part 516--Mailing Addresses

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

COMMANDER (JACS-Z), U.S. ARMY CLAIMS SERVICE, OTJAG, BUILDING 4411, ROOM 
          206, LLEWELLYN AVENUE, FORT GEORGE G. MEADE, MD 20755-5360
    (1) PERSONNEL CLAIMS AND RECOVERY DIVISION (JACS-PC), U.S. ARMY 
CLAIMS SERVICE, OTJAG, BUILDING 4411, ROOM 206, LLEWELLYN AVENUE, FORT 
GEORGE G. MEADE, MD 20755-5360
    (2) TORT CLAIMS DIVISION (JACS-TC), U.S. ARMY CLAIMS SERVICE, OTJAG, 
BUILDING 4411, ROOM 206, LLEWELLYN AVENUE, FORT GEORGE G. MEADE, MD 
20755-5360
CONTRACT APPEALS DIVISION, HQDA(DAJA-CA), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
CONTRACT LAW DIVISION, THE JUDGE ADVOCATE GENERAL, 2200 ARMY PENTAGON, 
          WASHINGTON, DC 20310-2200
CRIMINAL LAW DIVISION, THE JUDGE ADVOCATE GENERAL, 2200 ARMY PENTAGON, 
          WASHINGTON, DC 20310-2200
ENVIRONMENTAL LAW DIVISION, HQDA(DAJA-EL), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
LABOR AND EMPLOYMENT LAW DIVISION, THE JUDGE ADVOCATE GENERAL, 2200 ARMY 
          PENTAGON, WASHINGTON, DC 20310-2200,
LITIGATION DIVISION, HQDA(DAJA-LT), 901 NORTH STUART STREET, ARLINGTON, 
          VA 22203-1837
    (1) CIVILIAN PERSONNEL BRANCH, HQDA(DAJA-LTC), 901 NORTH STUART 
STREET, ARLINGTON, VA 22203-1837
    (2) GENERAL LITIGATION BRANCH, HQDA(DAJA-LTG), 901 NORTH STUART 
STREET, ARLINGTON, VA 22203-1837
    (3) MILITARY PERSONNEL BRANCH, HQDA(DAJA-LTM), 901 NORTH STUART 
STREET, ARLINGTON, VA 22203-1837
    (4) TORT BRANCH, HQDA(DAJA-LTT), 901 NORTH STUART STREET, ARLINGTON, 
VA 22203-1837
PERSONNEL, PLANS, AND TRAINING OFFICE, THE JUDGE ADVOCATE GENERAL, 2200 
          ARMY PENTAGON, WASHINGTON, DC 20310-2200
PROCUREMENT FRAUD DIVISION, HQDA(DAJA-PF), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
INTELLECTUAL PROPERTY DIVISION, HQDA(JALS-IP), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
REGULATORY LAW OFFICE, HQDA(JALS-RL), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
THE JUDGE ADVOCATE GENERAL, 2200 ARMY PENTAGON, WASHINGTON, DC 20310-
          2200
THE AJAG FOR CIVIL LAW & LITIGATION, THE JUDGE ADVOCATE GENERAL, 2200 
          ARMY PENTAGON, WASHINGTON, DC 20310-2200
U.S. ARMY TRIAL DEFENSE SERVICE, HQDA(JALS-TD), NASSIF BUILDING, FALLS 
          CHURCH, VA 22041-5013

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

                     Department of Defense Directive

                  July 23, 1985, Number 5405.2, GC, DOD

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

                               A. Purpose

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

                       B. Applicability and Scope

    1. This Directive applies to the Office of the Secretary of Defense 
(OSD), the Military Departments, the Organization of the Joint Chiefs of 
Staff (OJCS), the Unified and Specified Commands, and the Defense 
Agencies (hereafter referred to as ``DoD Components''), and to all 
personnel of such DoD Components.

[[Page 120]]

    2. This Directive does not apply to the release of official 
information or testimony by DoD personnel in the following situations:
    a. Before courts-martial convened by the authority of the Military 
Departments or in administrative proceedings conducted by or on behalf 
of a DoD Component;
    b. Pursuant to administrative proceedings conducted by or on behalf 
of the Equal Employment Opportunity Commission (EEOC) or the Merit 
Systems Protection Board (MSPB), or pursuant to a negotiated grievance 
procedure under a collective bargaining agreement to which the 
Government is a party;
    c. In response to requests by Federal Government counsel in 
litigation conducted on behalf of the United States;
    d. As part of the assistance required in accordance with the Defense 
Industrial Personnel Security Clearance Program under DoD Directive 
5220.6 (reference (c)); or
    e. Pursuant to disclosure of information to Federal, State, and 
local prosecuting and law enforcement authorities, in conjunction with 
an investigation conducted by a DoD criminal investigative organization.
    3. This Directive does not supersede or modify existing laws or DoD 
programs governing the testimony of DoD personnel or the release of 
official DoD information during grand jury proceedings, the release of 
official information not involved in litigation, or the release of 
official information pursuant to the Freedom of Information Act, 5 
U.S.C. Section 552 (reference (a)) or the Privacy Act, 5 U.S.C. Section 
552a (reference (a)), nor does this Directive preclude treating any 
written request for agency records that is not in the nature of legal 
process as a request under the Freedom of Information or Privacy Acts.
    4. This Directive is not intended to infringe upon or displace the 
responsibilities committed to the Department of Justice in conducting 
litigation on behalf of the United States in appropriate cases.
    5. This Directive does not preclude official comment on matters in 
litigation in appropriate cases.
    6. This Directive is intended only to provide guidance for the 
internal operation of the Department of Defense and is not intended to, 
does not, and may not be relied upon to create any right or benefit, 
substantive or procedural, enforceable at law against the United States 
or the Department of Defense.

                             C. Definitions

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

                                D. Policy

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

                           E. Responsibilities

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

                              F. Procedures

                           1. Authority To Act

    a. In response to a litigation request or demand for official DoD 
information or the testimony of DoD personnel as witnesses, the

[[Page 121]]

General Counsels of DoD, Navy, and the Defense Agencies; the Judge 
Advocates General of the Military Departments; and the Chief Legal 
Advisors to the JCS and the Unified and Specified Commands, with regard 
to their respective Components, are authorized--after consulting and 
coordinating with the appropriate Department of Justice litigation 
attorneys, as required--to determine whether official information 
originated by the Component may be released in litigation; whether DoD 
personnel assigned to or affiliated with the Component may be 
interviewed, contacted, or used as witnesses concerning official DoD 
information or as expert witnesses; and what, if any, conditions will be 
imposed upon such release, interview, contact, or testimony. Delegation 
of this authority, to include the authority to invoke appropriate claims 
of privilege before any tribunal, is permitted.
    b. In the event that a DoD Component receives a litigation request 
or demand for official information originated by another Component, the 
receiving Component shall forward the appropriate portions of the 
request or demand to the originating Component for action in accordance 
with this Directive. The receiving Component shall also notify the 
requestor, court, or other authority of its transfer of the request or 
demand.
    c. Notwithstanding the provisions of paragraphs F.1.a. and b., the 
GC, DoD, in litigation involving terrorism, espionage, nuclear weapons, 
intelligence means or sources, or otherwise as deemed necessary, may 
notify Components that GC, DoD, will assume primary responsibility for 
coordinating all litigation requests and demands for official DoD 
information or the testimony of DoD personnel, or both; consulting with 
the Department of Justice, as required; and taking final action on such 
requests and demands.

                         2. Factors To Consider

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

             3. Decisions on Litigation Requests and Demands

    a. Subject to paragraph F.3.e., DoD personnel shall not, in response 
to a litigation request or demand, produce, disclose, release, comment 
upon, or testify concerning any official DoD information without the 
prior written approval of the appropriate DoD official designated in 
paragraph F.1. Oral approval may be granted, but a record of such 
approval shall be made and retained in accordance with the applicable 
implementing regulations.
    b. If official DoD information is sought, through testimony or 
otherwise, by a litigation request or demand, the individual seeking 
such release or testimony must set forth, in writing and with as much 
specificity as possible, the nature and relevance of the official 
information sought. Subject to paragraph F.3.e., DoD personnel may only 
produce, disclose, release, comment upon, or testify concerning those 
matters that were specified in writing and properly approved by the 
appropriate DoD official designated in paragraph F.1. See United States 
ex rel. Touhy v. Ragen, 340 U.S. 462 (1951).
    c. Whenever a litigation request or demand is made upon DoD 
personnel for official DoD information or for testimony concerning such 
information, the personnel upon whom the request or demand was made 
shall immediately notify the DoD official designated in paragraph F.1. 
for the Component to which the individual contacted is or, for former 
personnel, was last assigned. In appropriate cases, the responsible DoD 
official shall thereupon notify the Department of Justice of the request 
or demands. After due consultation and coordination with the Department 
of Justice, as required, the DoD official shall determine whether the 
individual is required to comply with the request or demand and shall 
notify the requestor or the court or other authority of the 
determination reached.
    d. If, after DoD personnel have received a litigation request or 
demand and have in

[[Page 122]]

turn notified the appropriate DoD official in accordance with paragraph 
F.3.c., a response to the request or demand is required before 
instructions from the responsible official are received, the responsible 
official designated in paragraph F.1. shall furnish the requestor or the 
court or other authority with a copy of this Directive and applicable 
implementing regulations, inform the requestor or the court or other 
authority that the request or demand is being reviewed, and seek a stay 
of the request or demand pending a final determination by the Component 
concerned.
    e. If a court of competent jurisdiction or other appropriate 
authority declines to stay the effect of the request or demand in 
response to action taken pursuant to paragraph F.3.d., or if such court 
or other authority orders that the request or demand must be complied 
with notwithstanding the final decision of the appropriate DoD official, 
the DoD personnel upon whom the request or demand was made shall notify 
the responsible DoD official of such ruling or order. If the DoD 
official determines that no further legal review of or challenge to the 
court's ruling or order will be sought, the affected DoD personnel shall 
comply with the request, demand, or order. If directed by the 
appropriate DoD official, however, the affected DoD personnel shall 
respectfully decline to comply with the demand. See United States ex 
rel. Touhy v. Ragen, 340 U.S. 462 (1951).

                                 4. Fees

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

                     5. Expert or Opinion Testimony

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

                  G. Effective Date and Implementation

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

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

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

                     Department of Defense Directive

                  June 7, 1989, Number 7050.5, IG, DOD

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

                        A. Reissuance and Purpose

    This Directive reissues reference (a) to update policies, 
procedures, and responsibilities for the coordination of criminal, 
civil, administrative, and contractual remedies stemming from 
investigation of fraud or corruption related to procurement activities.

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More effective and timely communication of information developed during 
such investigations will enable the Department of Defense to take the 
most appropriate of the available measures.

                            B. Applicability

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

                             C. Definitions

    1. DoD Criminal Investigative Organizations. Refers to the U.S. Army 
Criminal Investigation Command; the Naval Investigative Service Command; 
the U.S. Air Force Office of Special Investigations; and the Defense 
Criminal Investigative Service, Office of the IG, DoD (OIG, DoD).
    2. Significant. Refers to all fraud cases involving an alleged loss 
of $100,000, or more; all corruption cases related to procurement that 
involved bribery, gratuities, or conflicts of interest; and any 
investigation into defective products or product substitution in which a 
SERIOUS HAZARD to health, safety, or operational readiness is indicated, 
regardless of loss value.

                                D. Policy

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

                           E. Responsibilities

    1. The Heads of DoD Components shall:
    a. Establish a centralized organization (hereafter referred to as 
``the centralized organization'') to monitor and ensure the coordination 
of criminal, civil, administrative, and contractual remedies for each 
significant investigation of fraud or corruption related to procurement 
activities affecting the DoD Component.
    b. Establish procedures requiring the centralized organization to 
discuss regularly with the assigned DoD criminal investigative 
organization(s) such issues as the current status of significant 
investigations and their coordination with prosecutive authorities.
    c. Establish procedures requiring that all coordination involving 
the DoJ, during the pendency of a criminal investigation, is 
accomplished by or with the advance knowledge of the appropriate DoD 
criminal investigative organization(s).
    d. Establish procedures to ensure appropriate coordination of 
actions between the centralized organizations of any DoD Components 
affected by a significant investigation of fraud or corruption related 
to procurement activities.
    e. Establish procedures to ensure that all proper and effective 
civil, administrative, and contractual remedies available to the 
Department of Defense are, when found applicable and appropriate, 
considered and undertaken promptly by the necessary DoD officials (e.g., 
commanders, programs officials, and contracting officers). This includes 
initiation of any suspension and debarment action within 30 days of an 
indictment or conviction. The centralized organization shall ensure that 
all proposed actions are coordinated with appropriate investigative 
organization.
    f. Establish procedures to ensure that a specific comprehensive 
remedies plan is developed for each significant investigation involving 
fraud or corruption related to procurement activities. These procedures 
shall include the participation of the appropriate DoD criminal 
investigative organization in the development of the plan.
    g. Establish procedures to ensure that in those significant 
investigations of fraud or corruption related to procurement activities 
when adverse impact on a DoD mission can be determined, such adverse 
impact is identified and documented by the centralized organization. 
This information is to be used by the centralized organization of the 
DoD Component concerned in development of the remedies plan required in 
paragraph E.1.f., above, and shall be furnished to prosecutors

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

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    a. Develop training materials relating to fraud and corruption in 
procurement related activities which shall be utilized in all 
procurement related training in conjunction with training materials 
developed by the DoD Components. (See paragraph E.1.h., above.)
    b. Establish procedures for providing to the DoD criminal 
investigative organizations, through the Office of the Assistant 
Inspector General for Auditing (OAIG-AUD), reports of data contained in 
the Individual Procurement Action Report (DD Form 350) System.

                              F. Procedures

    Transmissions of information by DoD criminal investigative 
organizations required by subsection E.2., above, shall be made as 
expeditiously as possible, consistent with efforts not to compromise any 
ongoing criminal investigation. The transmission of the information may 
be delayed when, in the judgment of the head of the DoD criminal 
investigative organization, failure to delay would compromise the 
success of any investigation or prosecution. The prosecutive authorities 
dealing with the investigation shall be consulted, when appropriate, in 
making such determinations.

                  G. Effective Date and Implementation

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

Donald J. Atwood,
    Deputy Secretary of Defense.

                              Enclosures--3

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

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

                                A. Civil

                              1. Statutory

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

                             2. Nonstatutory

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

                             3. Contractual

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

                            4. Administrative

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

        Sources of Information Relating to Government Contractors
------------------------------------------------------------------------
          Type of information                    Possible source
------------------------------------------------------------------------
Location, dollar value, type, and        a. DD Form 350 Report.\1\
 number of current contracts with the    b. Defense Logistics Agency's
 Department of Defense.                   (DLA) ``Contract
                                          Administration Defense
                                          Logistics Agency's (DLA)
                                          Contract Administration Report
                                          (CAR Report) on contracts DLA
                                          administers.

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2. Financial status of corporation,      a. Dunn and Bradstreet Reports.
 history of corporation, owners, and     b. Corporate filings with local
 officers.                                secretaries of the State, or
                                          corporate recorders.
                                         c. Securities and Exchange
                                          Commission (public
                                          corporations).
                                         d. Small Business
                                          Administration (SBA) (small
                                          businesses).
                                         e. General Accounting Office
                                          (bid protests, and contractors
                                          indebted to the Government).
                                         f. Armed Services Board of
                                          Contract Appeals (ASBCA) or
                                          court litigation.
                                         g. List of Contractors Indebted
                                          to the United States
                                          (maintained, published and
                                          distributed by the U.S. Army
                                          Finance and Accounting Center,
                                          Indianapolis, Indiana 46249).
3. Security clearance background         a. Defense Investigative
 information on facility and officers.    Service.
4. Performance history of contractor...  a. Local contracting officers.
                                         b. Defense Contract
                                          Administration Service
                                          preaward surveys.
                                         c. SBA Certificate of
                                          Competency records.
5. Name, location, offense alleged, and  DLA Automated Criminal Case
 previous investigative efforts           Management System. (Available
 involving DLA-awarded or DLA-            through field offices of the
 administered contracts.                  DLA Counsel's office.)
6. Bid protests, litigation, and         Field offices of the DLA
 bankruptcy involving DLA-awarded or      Counsel's office.
 DLA-administered contracts.
------------------------------------------------------------------------
\1\ A determination as to the contract history of any DoD contractor
  with contracts in excess of $25,000 annually can be made through a
  review of the ``Individual Procurement Action Report'' (DD Form 350)
  system, as prescribed by Subpart 4.6 of the DoD FAR Supplement, DoD
  Instruction 4105.61, and DoD 4105.61-M (references (c), (d), and (e)).

       Actions to be Taken in Product Substitution Investigations

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

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

    DOD Directive 5505.5 is contained in 32 CFR part 277.

                    Appendix F to Part 516--Glossary

                              Abbreviations

AAFES: Army and Air Force Exchange Service
AMEDD: Army Medical Department

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AFARS: Army Federal Acquisition Regulation Supplement
ASBCA: Armed Services Board of Contract Appeals
AUSA: Assistant United States Attorney
CFR: Code of Federal Regulations
COE: United States Army Corps of Engineers
DA: Department of the Army
DFARS: Defense Federal Acquisition Regulation Supplement
DOD: Department of Defense
DOJ: Department of Justice. In this regulation, reference to DOJ means 
          either United States Attorneys' Offices or The (main) 
          Department of Justice in Washington, DC
DCIS: Defense Criminal Investigative Service
e.g.: An abbreviation for exempli gratia, meaning ``for example''
et seq.: An abbreviation for et sequentes, meaning ``and the following''
FAR: Federal Acquisition Regulation
FAX: Facsimile Transmission
FBI: Federal Bureau of Investigation
Fed. R. Civ. P.: Federal Rules of Civil Procedure
Fed. R. Crim. P.: Federal Rules of Criminal Procedure
FOIA: Freedom of Information Act
GAO: General Accounting Office
HQDA: Headquarters, Department of the Army
i.e.: An abbreviation for id est, meaning ``that is''
IG: Inspector General
JA: Judge Advocate
MACOM: Major Command
MSPB: Merit Systems Protection Board
NAF: Nonappropriated Fund
OTJAG: Office of The Judge Advocate General
OSC: Office of Special Counsel
PFA: Procurement Fraud Advisor
PFCRA: Program Fraud Civil Remedies Act
PFD: Procurement Fraud Division
PFI: Procurement Fraud or Irregularities
RJA: Recovery Judge Advocate
SAUSA: Special Assistant U.S. Attorney
SJA: Staff Judge Advocate
TDY: temporary Duty
TJAG: The Judge Advocate General
UCMJ: Uniform Code of Military Justice
USACIDC: U.S. Army Criminal Investigation Command
USALSA: U.S. Army Legal Services Agency
USARCS: U.S. Army Claims Service
USATDS: U.S. Army Trial Defense Service
USMA: United States Military Academy
U.S.C.: United States Code

                                  Terms

                               Active Duty

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

                             Army Activities

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

                              Army Property

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

                        Centralized Organization

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

                                  Claim

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

                             Claims Officer

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

[[Page 128]]

                               Corruption

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

                        Counsel for Consultation

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

                       Counsel for Representation

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

                              DA Personnel

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

                                Debarment

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

                      Deciding Official (Chapter 7)

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

                DOD Criminal Investigation Organizations

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

                                  Fraud

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

                       Improper or Illegal Conduct

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

              Information Exempt From Release To The Public

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

                             Judge Advocate

    An officer so designated (AR 27-1).

                              Legal Adviser

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

                               Litigation

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

          Litigation in Which The United States Has an Interest

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

[[Page 129]]

    g. Foreign litigation in which the United States is bound by treaty 
or agreement to ensure attendance by military personnel or civilian 
employees.

                              Medical Care

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

                               Misdemeanor

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

                          Official Information

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

                            Operating Forces

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

                            Personnel Action

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

                           Private Litigation

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

                                 Process

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

                      Prohibited Personnel Practice

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

[[Page 130]]

    i. To take or fail to take a personnel action against an employee or 
applicant for employment as a reprisal for the exercise of any appeal 
right granted by law, rule, or regulation.
    j. To discriminate for or against any employee or applicant for 
employment on the basis of conduct that does not adversely affect the 
performance of the employee or applicant or the performance of others.
    k. To take or fail to take any other personnel action if the taking 
of, or failure to take, such action violates any law, rule, or 
regulation implementing, or directly concerning, the merit system 
principles contained in 5 U.S.C. 2301.

                         Prosecutive Authorities

    These include--
    a. A U.S. Attorney;
    b. A prosecuting attorney of a State or other political subdivision 
when the U.S. Attorney has declined to exercise jurisdiction over a 
particular case or class of cases; and
    c. An SJA of a general court-martial convening authority considering 
taking action against a person subject to the UCMJ.

                               Recovery JA

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

                Significant Case of Fraud and Corruption

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

                          Staff Judge Advocate

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

                                Subpoena

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

                               Suspension

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

                  Suspension and Debarment Authorities

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

                               Tortfeasor

    A wrongdoer; one who commits a tort.

                     Appendix G to Part 516--Figures

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

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

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

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

                        First Affirmative Defense

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

                                 Answer

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

                            Prayer for Relief

    The remainder of plaintiff's Complaint contains his prayer for 
relief, to which no answer is required. Insofar as an answer is 
required, denies that plaintiff is entitled to any relief whatsoever.
    Defendant respectfully prays that the Court dismiss plaintiff's 
Complaint and award to defendant costs and such further relief as the 
Court deems proper.
    Respectfully submitted,
Ronald M. Ford,
United States Attorney.

[[Page 131]]

Roy A. Andersen,
Assistant United States Attorney, 606 N. Carancua, Corpus Christi, Texas 
          78476, (512) 884-3454.
Captain Christopher N. Jones,
Department of the Army, Office of the Judge, Advocate General, 901 N. 
          Stuart St., Suite 400, Arlington, Virginia 22203-1837, (703) 
          696-1666.

                         Certificate of Service

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

                            Sample DA Form 4

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

                  Declaration Under Penalty of Perjury

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

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

                       Request for Representation

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

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

                               Declaration

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

      Figure D-3. Format for Contractor Request for Representantion

                       Request for Representation

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

[[Page 132]]

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

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

Mr. T. Hudson Taylor,
Attorney At Law, 105 Hay Street, Whynot, ND 84167
    Dear Mr. Taylor: We have learned that you subpoenaed Captain Roberta 
Selby to testify at a deposition in the case Kramer v. Kramer, currently 
filed in state court, and that you directed her to bring her legal 
assistance file concerning her client, SSG Kramer.
    Under 32 CFR Sec. Sec. 97.6(c), 516.35, and 516.40, the Army must 
authorize the appearance of its personnel or the production of official 
documents in private litigation. In this case, the Army cannot authorize 
Captain Selby to appear or produce the requested file absent the 
following:
    You must request in writing her appearance and the production of the 
file in accordance with Department of Defense directives, 32 CFR Sec. 
97.6(c), and Army regulations, 32 CFR Sec. Sec. 516.34-516.40. The 
request must include the nature of the proceeding, 32 CFR Sec. 
516.34(b), and the nature and relevance of the official information 
sought. Id. Sec. 516.35(d). We cannot act on your request until we 
receive the required information. See, for example, United States ex 
rel. Touhy v. Ragen, 340 U.S. 462 (1951); Boron Oil Co. v. Downie, 873 
F.2d 67 (4th Cir. 1989); United States v. Bizzard, 674 F.2d 1382 (11th 
Cir. 1982); United States v. Marino, 658 F.2d 1120 (6th Cir. 1981); 
United States v. Allen, 554 F.2d 398 (10th Cir. 1977).
    To overcome Federal statutory restrictions on the disclosure of the 
requested file imposed by the Privacy Act, 5 U.S.C. Sec. 552a, you must 
provide either a written release authorization signed by the individual 
to whom the file pertains (that is, SSG Kramer) or a court ordered 
release signed by a judge of a court of competent jurisdiction. A 
subpoena signed by a clerk of court, notary, or other official is 
insufficient. See, for example, Doe v. DiGenova, 779 F.2d 74 (DC Cir. 
1985).
    In this case, because of the attorney-client relationship between 
Captain Selby and SSG Kramer, you must produce a written waiver of the 
attorney-client privilege from SSG Kramer. Because the privilege may 
protect both documents and testimony, Captain Selby may not divulge such 
information without SSG Kramer's consent. See, for example, Rule of 
Professional Conduct for Army Lawyers 1.6(a).
    In addition to the above requirements, Captain Selby's supervisor 
must approve her absence from duty. See 32 CFR Sec. 516.43. In this 
regard, we suggest you take the deposition at Fort Smith. In any event, 
however, you or your client must pay all travel expenses, as this is 
purely private litigation and witness' appearance must be at no expense 
to the United States. See id. Sec. 516.48(c).
    Finally, if Captain Selby does appear as a witness, she may only 
give factual testimony. She may not testify as an opinion or expert 
witness. This limitation is based on Department of Defense and Army 
policy that generally prohibits Government employees from appearing as 
expert witnesses in private litigation. See id. Sec. Sec. 97.6(e), 
516.42.
    Our sole concern in this matter is to protect the interests of the 
United States Army; the Army will not block access to witnesses or 
documents to which you are lawfully entitled. So that the Army can 
adequately protect its interests in this matter, I request that you 
respond to this letter by 27 April 1993. If you have any questions, 
please call CPT Taylor at 919-882-4500.

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

             Figure G-2. Sample Fact Witness Approval Letter

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

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

             Figure G-3. Sample Expert Witness Denial Letter

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

Mr. T. Hudson Taylor,

[[Page 133]]

Attorney At Law, l05 Hay Street, Whynot, ND 84167
    Dear Mr. Taylor: This responds to your request for Mr. Charles 
Montrose to appear as an expert witness in private litigation: Smithers 
v. ABC Video. For the following reasons, the request is denied.
    Army Regulation 27-40 forbids Army personnel from providing expert 
testimony in private litigation, with or without compensation, except 
under the most extraordinary circumstances. See 32 CFR Sec. Sec. 
97.6(e), 516.42. Several reasons support the exercise of strict control 
over such witness appearances.
    The Army policy is one of strict impartiality in litigation in which 
the Army is not a named party, a real party in interest, or in which the 
Army does not have a significant interest. When a witness with an 
official connection with the Army testifies, a natural tendency exists 
to assume that the testimony represents the official view of the Army, 
despite express disclaimers to the contrary.
    The Army is also interested in preventing the unnecessary loss of 
the services of its personnel in connection with matters unrelated to 
their official responsibilities. If Army personnel testify as expert 
witnesses in private litigation, their official duties are invariably 
disrupted, often at the expense of the Army's mission and the Federal 
taxpayer.
    Finally, the Army is concerned about the potential for conflict of 
interest inherent in the unrestricted appearance of its personnel as 
expert witnesses on behalf of parties other than the United States. Even 
the appearance of such conflicts of interest seriously undermines the 
public trust and confidence in the integrity of our Government.
    This case does not present the extraordinary circumstances necessary 
to justify the requested witness' expert testimony. You have 
demonstrated no exceptional need or unique circumstances that would 
warrant (his or her) appearance. The expert testimony desired can be 
secured from non-Army sources. Consequently, we are unable to grant you 
an exception to the Army's policy.
    If you have any questions, please call me or CPT Taylor at 919-882-
4500.

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

              Figure G-4. Sample of Doctor Approval Letter

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

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

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

                Figure H-1. Procurement Fraud Indicators

                      Procurement Fraud Indicators

    1. During the identification of the government and services.
    a. Need determinations for items currently scheduled for disposal or 
reprocurement, or which have predetermined reorder levels.
    b. Excessive purchase of ``expendables'' such as drugs or auto 
parts.
    c. Inadequate or vague need assessment.

[[Page 134]]

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

[[Page 135]]

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

              Figure H-2. Guide for Preparing Remedies Plan

                   Guide for Preparing a Remedies Plan

                             (Date of Plan)

                     Section I (Administrative Data)

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

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

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

                 Section III (Adverse Impact Statement)

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

            Section IV (Remedies Taken and/or Being Pursued)

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

[[Page 136]]

             Section V (Miscellaneous Comments/Information)

                 Section VI (Remedies Plan Participants)

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

                Section VII (MACOM Coordination Comments)

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

                            MACOM Focal Point

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

                  Section VIII (Coordination/Comments)

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

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

      Testing Defective Items Under Criminal or Civil Investigation

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

a. the contract number(s) involved
b. the National Stock Number (NSN) of the item to be tested
c. the purpose of the testing
d. the alleged defect or the contractual requirement violated
e. the CID report of investigation (ROI) number or the DCIS case number
f. cost of the test (a cost proposal should be an attachment to the test 
          plan)
g. where the test will be conducted
h. how the test will be conducted
i. the name and telephone number of the test team leader
j. the names of all test team members
k. the approximate dates of the testing
l. the date that completion of the test is required
m. a clear statement of the desired product (that is test report, raw 
          data, analysis of results, evaluation of test results)
n. the PRON to fund the testing
o. a retention plan.
    6. The test plan shall be coordinated with the concurrence received 
in advance from the appropriate personnel in the Procurement 
Directorate, Product Assurance and Test Directorate, the Procurement 
Fraud Advisor, and the investigator/AUSA requesting the test. No testing 
will be initiated until the criminal investigator/AUSA who requested the 
testing has approved the test plan.
    7. If the items tested are to be retained as evidence, the criminal 
investigator should arrange for retention of the evidence. While the 
Command will support evidence retention, this is primarily the 
responsibility of the criminal investigators. Agents should be advised 
that putting items in Code L or similar non-use status is insufficient 
to protect it from being released to the field. A decision not to retain 
the tested items as evidence must have the approval of the AUSA.
    8. All items to be tested should be from a statistically valid 
random sample. The sample should conform with the inspection 
requirements of the contract or be in conformance with a random sample 
specifically developed for the instant test plan. It is recommended that 
a statistician be consulted to determine the feasibility of a random 
sample specifically created to support the test plan.
    9. Results of testing should be available to Command and DA 
personnel for appropriate contractual and administrative remedies.

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Any request for testing results that indicates that dissemination of the 
testing results will be limited by Rule 6(e) of the Federal Rules of 
Criminal Procedure is to be forwarded through the MACOM or AMC 
Procurement Fraud Coordinator to DA Procurement Fraud Division prior to 
the initiation of any testing.
    10. Resolution of problems associated with testing requests should 
be conducted at the local level. In AMC the authority to refuse a 
testing request resides with the Office of Command Counsel. Any disputes 
which cannot be resolved at the local level will be forwarded to the AMC 
or MACOM Procurement Fraud Coordinator for resolution. This includes 
disputes regarding funding or any time sensitive issues.
    11. Second requests for testing of the same item due to a change in 
the investigative plan require coordination by the PFA with the 
investigator and AUSA overseeing the investigation to determine the 
deficiencies in the earlier test. Disputes which cannot be resolved 
between the AUSA, PFA, and investigator regarding testing are to be 
forwarded simultaneously to the MACOM Procurement Fraud Coordinator and 
PFD for resolution. The procedures established in paragraphs 5 and 6 
apply for second requests for testing with the additional requirement 
that the Assistant United States Attorney must be requested to approve 
the test plan.

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

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

                               1. Overview

    a. DA employees or military members asked to provide information 
(testimonial or documentary) to OSC may obtain legal advice through the 
Labor Counselor from DA attorneys concerning their rights and 
obligations. This includes assistance at any interviews with OSC 
investigators. However, an attorney-client relationship will not be 
established unless the employee or military member--
    (1) Is suspected or accused by the OSC of committing a prohibited 
personnel practice or other illegal or improper act; and
    (2) Has been assigned counsel by the DA General Counsel.
    b. Any military member or employee who reasonably believes that he 
or she is suspected or has been accused by OSC of committing a 
prohibited personnel practice or other illegal or improper act may 
obtain legal representation from DA. The counsel assigned will be from 
another DOD component whenever a DA attorney is likely to face a 
conflict between the attorney's ethical obligation to the client and DA, 
or when the suspected or accused individual has requested representation 
from another DOD component. Outside legal counsel may be retained by DA 
on behalf of the member or employee under unusual circumstances and only 
with the personal approval of the DOD General Counsel.
    c. The DA General Counsel will determine whether a conflict is 
likely to occur if a DA attorney is assigned to represent a military 
member or civilian. If the DA General Counsel determines a conflict may 
occur, or if the suspected or accused employee has requested 
representation from another DOD component, the DA General Counsel will 
seek the assistance of another General Counsel in obtaining 
representation outside DA.

                     2. Requests for Representation

    a. To obtain legal representation, military members or civilian 
employees must--
    (1) Submit a written request for legal representation through the 
Labor and Employment Law Office, Office of the Judge Advocate General, 
Department of the Army, to DA General Counsel, explaining the 
circumstances that justify legal representation. Copies of all process 
and pleadings served should accompany the request.
    (2) Indicate whether private counsel, at personal expense, has been 
retained.
    (3) Obtain written certification from their supervisor that--
    (a) They were acting within the scope of official duties; and
    (b) DA has not initiated any adverse or disciplinary action against 
them for the conduct being investigated by the OSC.
    b. Requests for DA legal representation must be approved by the DA 
General Counsel.
    c. The conditions of legal representation must be explained and 
accepted in writing by the member or employee.

                    3. Limitations on Representation

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

[[Page 138]]

                     4. Attorney-Client Relationship

    a. An attorney-client relationship will be established and continued 
between the suspected or accused individual and assigned DA counsel.
    b. In representing a DA employee or military member, the DA attorney 
designated as counsel will act as a vigorous advocate of the 
individual's legal interests before the OSC or MSPB. The attorney's 
professional responsibility to DA will be satisfied by fulfilling this 
responsibility to the employee or military member. Legal representation 
may be terminated only with the approval of the DA General Counsel and 
normally only on the basis of information not available at the time the 
attorney was assigned.
    c. The attorney-client relationship may be terminated if the 
assigned DA counsel determines, with the approval of the DA General 
Counsel, that--
    (1) The military member or civilian employee was acting outside the 
scope of his or her official duties when engaging in the conduct that is 
the basis for the OSC investigation or charge; and
    (2) Termination is not in violation of the rules of professional 
conduct applicable to the assigned counsel.
    d. The DA attorney designated as counsel may request relief from the 
duties of representation or counseling without being required to furnish 
explanatory information that might compromise confidential 
communications between the client and the attorney.

                               5. Funding

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

                                6. Status

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

                         7. Advice to Witnesses

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



PART 518_THE FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents




                      Subpart A_General Provisions

Sec.
518.1 Purpose.
518.2 References.
518.3 Explanation of abbreviations and terms.
518.4 Responsibilities.
518.5 Authority.
518.6 Public information.
518.7 FOIA terms defined.
518.8 Freedom of Information requirements.

                      Subpart B_FOIA Reading Rooms

518.9 Reading room.
518.10 ``(a)(2)'' materials.
518.11 Other materials.

                          Subpart C_Exemptions

518.12 General.
518.13 FOIA exemptions.

                     Subpart D_For Official Use Only

518.14 General.

               Subpart E_Release and Processing Procedures

518.15 General provisions.
518.16 Initial determinations.
518.17 Appeals.
518.18 Judicial actions.

                         Subpart F_Fee Schedule

518.19 General provisions.
518.20 Collection of fees and fee rates.

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518.21 Collection of fees and fee rates for technical data.

                            Subpart G_Reports

518.22 Reports control.
518.23 Annual report content.

Appendixes to Part 518
Appendix A to Part 518--References.
Appendix B to Part 518--Addressing FOIA Requests.

    Authority: 5 U.S.C. 551, 552, 552a, 5101-5108, 5110-5113, 5115, 
5332-5334, 5341-42, 5504-5509, 7154; 10 U.S.C. 130, 1102, 2320-2321, 
2328; 18 U.S.C. 798, 3500; 31 U.S.C. 3710; 35 U.S.C. 181-188; 42 U.S.C. 
2162; 44 U.S.C. 33; and Executive Order 12600.

    Source: 71 FR 9222, Feb. 22, 2006, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 518.1  Purpose.

    This part provides policies and procedures for implementation of the 
Freedom of Information Act (5 U.S.C. 552, as amended) and Department of 
Defense Directive (DoDD) 5400.7 and promotes uniformity in the 
Department of Defense (DoD) Freedom of Information Act (FOIA) Program. 
This Army regulation implements provisions for access and release of 
information from all Army information systems (automated and manual) in 
support of Army Information Management (AR 25-1).



Sec. 518.2  References.

    Required and related publications are listed in Appendix A of this 
part.



Sec. 518.3  Explanation of abbreviations and terms.

    Abbreviations and special terms used in this part are explained in 
the glossary of AR 25-55.



Sec. 518.4  Responsibilities.

    (a) The Administrative Assistant to the Secretary of the Army (AASA) 
is responsible for issuing policy and establishing guidance for the Army 
FOIA Program. AASA has the responsibility to approve exceptions to this 
regulation that are consistent with controlling law and regulations. 
AASA may delegate the approval authority, in writing, to a division 
chief, under its supervision, within that agency in the grade of O6 or 
civilian equivalent.
    (b) The Administrative Assistant to the Secretary of the Army, 
(AASA), The Records and Programs Agency, (RPA), Records Management and 
Declassification Agency (RMDA), is responsible for developing and 
recommending policy to AASA concerning the Army FOIA program and overall 
execution of the program under the policy and guidance of AASA.
    (c) The Chief of Information Officer (CIO), G6 will provide 
oversight of the FOIA program as necessary in compliance with Federal 
Statutes, regulations, Office of Management and Budget (OMB), and the 
Office of Secretary of Defense (OSD).
    (d) Heads of Army Staff agencies, field operating agencies, major 
Army commands (MACOMS), and subordinate commands are responsible for the 
supervision and execution of the FOIA program in functional areas and 
activities under their command.
    (e) Heads of Joint Service agencies or commands for which the Army 
is the Executive Agent, or otherwise has responsibility for providing 
fiscal, logistical, or administrative support, will adhere to the 
policies and procedures in this regulation.
    (f) Commander, Army and Air Force Exchange Service (AAFES), is 
responsible for the supervision of the FOIA program within that command 
pursuant to this part.



Sec. 518.5  Authority.

    (a) This part governs written FOIA requests from members of the 
public. It does not preclude the release of personnel or other records 
to agencies or individuals in the Federal Government for use in official 
work.
    (b) Soldiers and civilian employees of the Department of the Army 
(DA) may, as private citizens, request DA or other agencies' records 
under the FOIA. They must prepare requests at their own expense and on 
their own time. They may not use Government equipment, supplies, or 
postage to prepare personal FOIA requests. It is not necessary for 
soldiers or civilian employees to go through the chain of command to 
request information under the FOIA.
    (c) Requests for DA records processed under the FOIA may be denied 
only in accordance with the FOIA (5 U.S.C.

[[Page 140]]

552(b)), as implemented by this part. Guidance on the applicability of 
the FOIA is also found in the Federal Acquisition Regulation (FAR).
    (d) Release of some records may also be affected by the programs 
that created them. They are discussed in the following regulations:
    (1) AR 20-1 (Inspector General activities and procedures);
    (2) AR 27-10 (military justice);
    (3) AR 27-20 (claims);
    (4) AR 27-40 (litigation: release of information and appearance of 
witnesses);
    (5) AR 27-60 (intellectual property);
    (6) AR 36-2 (Government Accounting Office audits);
    (7) AR 40-66, AR 40-68, and AR 40-400 (medical records);
    (8) AR 70-31 (technical reports);
    (9) AR 20-1, AR 385-40 and DA Pam 385-40 (aircraft accident 
investigations);
    (10) AR 195-2 (criminal investigation activities);
    (11) AR 190-45 (Military Police records and reports);
    (12) AR 360-1 (Army public affairs: public information, general 
policies on release of information to the public);
    (13) AR 380-5 and DoD 5200.1-R (national security classified 
information);
    (14) AR 380-5 paragraph 7-101e (policies and procedures for allowing 
persons outside the Executive Branch to do unofficial historical 
research in classified Army records);
    (15) AR 380-10 (Technology Transfer for disclosure of information 
and contacts with foreign representatives;
    (16) AR 381-45 (U.S. Army Intelligence and Security Command 
investigation files);
    (17) AR 385-40 (safety reports and records);
    (18) AR 600-8-104 (military personnel information management 
records);
    (19) AR 600-85 (alcohol and drug abuse records);
    (20) AR 608-19 (family advocacy records); and
    (21) AR 690 (series civilian personnel records, FAR, DoD Federal 
Acquisition Regulation Supplement (DFARS) and the Army Federal 
Acquisition Regulation Supplement (AFARS) procurement matters).



Sec. 518.6  Public information.

    (a) Public information. The public has a right to information 
concerning the activities of its Government. Army 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 record requested by a member of the public who 
follows rules established by proper authority in DA shall not be 
withheld in whole or in part unless the record is exempt from mandatory 
partial or total disclosure under the FOIA. As a matter of policy, Army 
activities shall make discretionary disclosures of exempt records or 
information only after full and deliberate consideration of the 
institutional, commercial, and personal privacy interests that could be 
implicated by disclosure of the information. Activities must be prepared 
to present a sound legal basis in support of their determinations. In 
order that the public may have timely information concerning Army 
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 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 
that would not be withheld under the FOIA should continue to be honored 
through appropriate means without requiring the requester to invoke the 
FOIA.
    (b) FOIA handbook. The Department of the Army Freedom of Information 
Act/Privacy Act (DA FOIA/PA) Office shall prepare, in addition to FOIA 
regulations, a handbook for the use of the public in obtaining 
information from its organizations. This handbook will be a short, 
simple explanation of what the FOIA is designed to do, and how a member 
of the public can use it to access government records. The DA FOIA/PA 
Office handbook will explain

[[Page 141]]

the types of records that can be obtained through FOIA requests, why 
some records cannot, by law, be made available, and how the Army 
activity determines whether or not the record can be released. The 
handbook will also explain how to make a FOIA request, how long the 
requester can expect to wait for a reply, and appeal rights. The 
handbook will supplement other information locator systems, such as the 
Government Information Locator Service (GILS), and explain how a 
requester can obtain more information about those systems. The handbook 
will be available on paper and through electronic means and contain the 
following additional information, complete with electronic links to the 
below elements: the location of reading room and the types and 
categories of information available; the location of the World Wide Web 
page; a reference to the Army FOIA regulation and how to obtain a copy; 
a reference to the Army FOIA annual report and how to obtain a copy; and 
the location of the GILS page. The DA FOIA handbook, ``A Citizen's Guide 
to Request Army Records Under the Freedom of Information Act (FOIA),'' 
can be accessed on-line at http://www.rmda.belvoir.army.mil/. ``The 
Major Automated Information Systems Descriptions'' can be accessed at 
http://www.defenselink.mil/pubs/foi.
    (c) Control system. A request for records that invokes the FOIA 
shall enter a formal control system designed to ensure accountability 
and compliance with the FOIA. Any request for Army records that either 
explicitly or implicitly cites the FOIA shall be processed under the 
provisions of this part, unless otherwise required.



Sec. 518.7  FOIA terms defined.

    (a) FOIA request. A written request for Army records that reasonably 
describes the record(s) sought, made by any person, including a member 
of the public (U.S. or foreign citizen/entity), 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, DoDD 5400.7, DoD 
5400.7-R, this part, or Army Activity supplementing regulations or 
instructions. All requesters should also indicate a willingness to pay 
fees associated with the processing of their request. Requesters may ask 
for a waiver of fees, but should also express a willingness to pay fees 
in the event of a waiver denial. Written requests may be received by 
postal service or other commercial delivery means, by facsimile, or 
electronically (such as e-mail). Requests received by facsimile or 
electronically must have a postal mailing address included since it may 
not be practical to provide a substantive response electronically. The 
request is considered properly received, or perfected, when the 
conditions in this paragraph have been met and the request arrives at 
the FOIA office of the Activity in possession of the records.
    (b) Agency record. The products of data compilation, such as all 
books, papers, maps, photographs, and 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 United States Government under Federal law 
in connection with the transaction of public business and in DA 
possession and control at the time the FOIA request is made.
    (1) The following are not included within the definition of the word 
``record'': Objects or 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; 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. Personal papers fall into three categories: Those created 
before entering Government service; private materials brought into, 
created, or received in the office that were not created or received in 
the course of transacting Government business; and work-related personal 
papers that are not used in the transaction of Government business in 
accordance with Public Law 86-36, National Security Information 
Exemption.

[[Page 142]]

    (2) A record must exist and be in the possession and control of DA 
at the time of the request to be considered subject to this part and the 
FOIA. There is no obligation to create or compile a record to satisfy a 
FOIA request.
    (3) Hard copy or electronic records that are subject to FOIA 
requests under 5 U.S.C. 552 (a)(3), and that are available to the public 
through an established distribution system such as the Government 
Printing Office (GPO), Federal Register, National Technical Information 
Service (NTIS), or the Internet, normally need not be processed under 
the provisions of the FOIA. If a request is received for such 
information, Army Activities shall provide the requester with guidance, 
inclusive of any written notice to the public, on how to obtain the 
information. However, if the requester insists that the request be 
processed under the FOIA, then the request shall be processed under the 
FOIA. If there is any doubt as to whether the request must be processed, 
contact DA, FOIA/PA Office.
    (c) Army activity. A specific area of organizational or functional 
responsibility within DA, authorized to receive and act independently on 
FOIA requests.
    (d) Initial denial authority (IDA). An official who has been granted 
authority by the Secretary of the Army to deny records requested under 
the FOIA based on one or more of the nine categories of exemptions from 
mandatory disclosure. An IDA also: Denies a fee category claim by a 
requester; denies a request for expedited processing due to demonstrated 
compelling need; denies a request for a waiver or reduction of fees; 
reviews a fee estimate; and confirms that no records were located in 
response to a request.
    (e) Appellate authority. The Secretary of the Army or designee 
having jurisdiction for this purpose over the record, or any of the 
other adverse determinations. The DA appellate authority is the Office 
of the Army General Counsel (OGC).
    (f) Administrative appeal. A request by a member of the general 
public, made under the FOIA, asking the appellate authority of the Army 
to reverse a decision to: Withhold all or part of a requested record; 
deny a fee category claim by a requester; deny a request for expedited 
processing due to demonstrated compelling need; deny a request for 
waiver or reduction of fees; deny a request to review an initial fee 
estimate; and confirm that no records were located during the initial 
search. Requesters also may appeal the failure to receive a response 
determination within the statutory time limits, a fee estimate, and any 
determination that the requester believes is adverse in nature.
    (g) Public interest. The interest in obtaining official information 
that sheds light on an activity's performance of its statutory duties 
because the information falls within the statutory purpose of the FOIA 
to inform citizens about what their Government is doing. That statutory 
purpose, however, is not fostered by disclosure of information about 
private citizens accumulated in various governmental files that reveals 
nothing about an agency's or official's own conduct.
    (h) Electronic record. Records (including e-mail) that are created, 
stored, and retrievable by electronic means.
    (i) Federal agency. As defined by 5 U.S.C. 552 (f)(1), a Federal 
agency is any executive department, military department, Government 
corporation, Government controlled corporation, or other establishment 
in the executive branch of the Government (including the Executive 
Office of the President), or any independent regulatory agency.
    (j) Law enforcement investigation. An investigation conducted by a 
command or activity for law enforcement purposes relating to crime, 
waste, fraud or national security. Such investigations may include 
gathering evidence for criminal prosecutions and for civil or regulatory 
proceedings.



Sec. 518.8  Freedom of Information requirements.

    (a) Compliance with the FOIA. Army personnel are expected to comply 
with the FOIA, this part, and Army FOIA policy in both letter and 
spirit. This strict adherence is necessary to provide uniformity in the 
implementation of the Army FOIA Program and to create conditions that 
will promote public trust.

[[Page 143]]

    (b) Openness with the public. The DA shall conduct its activities in 
an open manner consistent with the need for security and adherence to 
other requirements of law and regulation. Records not specifically 
exempt from disclosure under the Act shall, upon request, be made 
readily accessible to the public in accordance with rules promulgated by 
competent authority, whether or not the Act is invoked.
    (1) Operations Security (OPSEC). DA officials who release records 
under the FOIA must also consider OPSEC. The Army implementing directive 
is AR 530-1.
    (2) DA Form 4948-R. This form lists references and information 
frequently used for FOIA requests related to OPSEC. Persons who 
routinely deal with the public (by telephone or letter) on such requests 
should keep the form on their desks as a guide.
    (c) Avoidance of procedural obstacles. Army Activities shall ensure 
that procedural matters do not unnecessarily impede a requester from 
obtaining DA records promptly. The Army shall provide assistance to 
requesters to help them understand and comply with procedures 
established by this part and any supplemental regulations published by 
the Army Activities. Coordination of referral of requests with DA FOIA/
PA Office should be made telephonically in order to respond to the 
requester in a timelier manner. Requests will not be mailed to the DA 
FOIA/PA Office for disposition or coordination with other IDAs.
    (d) Prompt action on requests and final response determinations. 
Generally, when a member of the public complies with the procedures 
established in this part or instructions for obtaining DA records, and 
after the request is received by the official designated to respond, 
Army Activities shall endeavor to provide a final response determination 
within the statutory 20 working days. If a significant number of 
requests, or the complexity of the requests prevent a final response 
determination within the statutory time period, Army Activities shall 
advise the requester of this fact, and explain how the request will be 
responded to within its multitrack processing system. A final response 
determination is notification to the requester that the records are 
released or partially released, or will be released on a certain date, 
or the records are withheld under an appropriate FOIA exemption, or the 
records cannot be provided for one or more of the other reasons. Interim 
responses acknowledging receipt of the request, negotiations with the 
requester concerning the scope of the request, the response timeframe, 
and fee agreements are encouraged; however, such actions do not 
constitute a final response determination pursuant to the FOIA. If a 
request fails to meet minimum requirements as set forth, Activities 
shall contact the requester and inform the requester what would be 
required to perfect or correct the request, or to limit the scope to 
allow for the most expeditious response. The statutory 20 working day 
time limit applies upon receipt of a perfected or correct FOIA request. 
Before mailing a final response determination and those records or 
portions thereof deemed releasable, records custodians will obtain a 
written legal opinion from their servicing judge advocate concerning the 
releasibility of the requested records. The legal opinion must cite 
specific exemptions, appropriate justification, and identify if the 
records were processed under the FOIA, PA (including the applicable 
systems notice), or both.
    (1) Multi-track processing. When an Army Activity has a significant 
number of pending requests that prevents a response determination being 
made within 20 working days, the requests shall be processed in a 
multitrack processing system, based on the date of receipt, the amount 
of work and time involved in processing the requests, and whether the 
request qualifies for expedited processing. Army Activities may 
establish as many processing queues as they wish; however, as a minimum, 
three processing tracks shall be established, all based on a first-in, 
first-out concept, and rank ordered by the date of receipt of the 
request. One track shall be a processing queue for simple requests, one 
track for complex requests, and one track shall be a processing queue 
for expedited processing. Determinations as to whether a request is 
simple or complex shall be made by each Army Activity.

[[Page 144]]

Army Activities shall provide a requester whose request does not qualify 
for the fastest queue an opportunity to limit the scope of the request 
in order to qualify for the fastest queue. This multitrack processing 
system does not obviate an Activity's' responsibility to exercise due 
diligence in processing requests in the most expeditious manner 
possible.
    (2) Expedited processing. A separate queue shall be established for 
requests meeting the test for expedited processing. Expedited processing 
shall be granted to a requester after the requester requests such and 
demonstrates a compelling need for the information. Notice of the 
determination as to whether to grant expedited processing in response to 
a requester's compelling need shall be provided to the requester within 
10 calendar days after receipt of the request in the Army Activity's 
office that will determine whether to grant expedited processing. Once 
the Army Activity has determined to grant expedited processing, the 
request shall be processed as soon as practicable. Actions by Army 
Activities to initially deny or affirm the initial denial on appeal of a 
request for expedited processing and a failure to respond in a timely 
manner shall be subject to judicial review. Initial determination of 
denials of expedited processing will be immediately forwarded to the IDA 
for action. If the IDA upholds the denial, the requester will be 
informed of his or her right to appeal.
    (i) Imminent threat. Compelling need means that the failure to 
obtain the records on an expedited basis could reasonably be expected to 
pose an imminent threat to the life or physical safety of an individual.
    (ii) Alleged Federal Government activity. Compelling need also means 
that the information is urgently needed by an individual primarily 
engaged in disseminating information in order to inform the public 
concerning actual or alleged Federal Government activity. An individual 
primarily engaged in disseminating information means a person whose 
primary activity involves publishing or otherwise disseminating 
information to the public. Representatives of the news media would 
normally qualify as individuals primarily engaged in disseminating 
information. Other persons must demonstrate that their primary activity 
involves publishing or otherwise disseminating information to the 
public.
    (iii) General public interest. Urgently needed means that the 
information has a particular value that will be lost if not disseminated 
quickly. Ordinarily this means a breaking news story of general public 
interest. However, information of historical interest only or 
information sought for litigation or commercial activities would not 
qualify, nor would a news media publication or broadcast deadline 
unrelated to the news breaking nature of the information.
    (iv) Certified statement. A demonstration of compelling need by a 
requester shall be made by a statement certified by the requester to be 
true and correct to the best of his or her knowledge. This statement 
must accompany the request in order to be considered and responded to 
within the 10 calendar days required for decisions on expedited access.
    (v) Other reasons for expedited processing. Another reason that 
merits expedited processing by Army FOIA offices is an imminent loss of 
substantial due process rights. A demonstration of imminent loss of 
substantial due process rights shall be made by a statement certified by 
the requester to be true and correct to the best of his or her 
knowledge. The statement mentioned in paragraph (iv) of this section 
must accompany the request in order to be considered and responded to 
within the 10 calendar days required for decisions on expedited access. 
Once the decision has been made to expedite the request for this reason, 
the request may be processed in the expedited processing queue behind 
those requests qualifying for compelling need.
    (vi) Administrative appeals. These same procedures also apply to 
requests for expedited processing of administrative appeals.
    (e) Use of exemptions. It is Army policy to make records publicly 
available, unless the record qualifies for exemption under one or more 
of the nine exemptions. Discretionary releases of information protected 
under the FOIA

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should be made only after full and deliberate consideration of the 
institutional, commercial, and personal privacy interests that could be 
implicated by disclosure of the information. When Army activities 
determine to withhold information using one of the nine exemptions, the 
Department of Justice (DOJ) will defend the position unless it is found 
to be lacking a Sound Legal Basis for denial.
    (1) Parts of a requested record may be exempt from disclosure under 
the FOIA. The proper DA official may delete exempt information and 
release the remainder to the requester. The proper official also has the 
discretion under the FOIA to release exempt information when 
appropriate; he or she must exercise this discretion in a reasonable 
manner, within regulations consistent with current policy 
considerations. The excised copies shall clearly reflect the denied 
information by the use of brackets, indicating the removal of 
information. Bracketed areas must be sufficiently removed so as to 
reveal no information. The best means to ensure illegibility is to cut 
out the information from a copy of the document and reproduce the 
appropriate pages.
    (2) If the document is declassified, all classification markings 
shall be lined through with a single black line, which will allow the 
markings to be read. The document shall then be stamped 
``Unclassified.''
    (f) Public domain. Nonexempt records released under the authority of 
this part are considered to be in the public domain. Such records may 
also be made available in the DA reading room in paper form, as well as 
electronically, to facilitate public access. Exempt records disclosed 
without authorization by the appropriate Army FOIA official do not lose 
their exempt status. Also, while authority may exist to disclose records 
to individuals in their official capacity, the provisions of this part 
apply if the same individual seeks the records in a private or personal 
capacity.
    (g) Creating a record. A record must exist and be in the possession 
and control of DA at the time of the search to be considered subject to 
this part and the FOIA. There is no obligation to create or compile a 
record to satisfy a FOIA request. An Army Activity, however, may compile 
a new record when so doing would result in a more useful response to the 
requester, or be less burdensome to the agency than providing existing 
records, and the requester does not object. Cost of creating or 
compiling such a record may not be charged to the requester unless the 
fee for creating the record is equal to or less than the fee that would 
be charged for providing the existing record. Fee assessments shall be 
in accordance with subpart F of this part.
    (1) Concerning 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, Army Activities should apply a 
standard of reasonableness.
    (2) 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. As 
used in this sense, a significant expenditure of resources in both time 
and/or manpower that would cause a significant interference with the 
operation of the Army Activity's automated information system would not 
be a business as usual approach.
    (h) Description of requested record. Identification of the record 
desired is the responsibility of the requester. The requester must 
provide a description of the desired record that enables the Government 
to locate the record with a reasonable amount of effort. In order to 
assist Army Activities in conducting more timely searches, requesters 
should endeavor to provide as much identifying information as possible. 
When an Army Activity receives a request that does not reasonably 
describe the requested record, it shall contact the requester and afford 
the requester the opportunity to perfect the request. Army Activities 
are not obligated to act on the request until the requester

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perfects the request. When practicable, Army Activities shall contact 
the requester to aid in identifying the records sought and in 
reformulating the request to reduce the burden on the agency in 
complying with the Act. DA FOIA officials will reply to unclear requests 
by: Describing the defects in the requests; explaining the types of 
information described below, and ask the requester for such information; 
and explaining that no action will be taken on the request until the 
requester replies to the letter.
    (1) The following guidelines are provided to deal with generalized 
requests and are based on the principle of reasonable effort. 
Descriptive information about a record may be divided into two broad 
categories: Category I is file-related and includes information such as 
type of record (for example, memorandum), title, index citation, subject 
area, date of record creation, and originator; 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.
    (2) Generally, a record is not reasonably described unless the 
description contains sufficient Category I information to permit an 
organized, non random search based on the Army Activity's filing 
arrangements and existing retrieval systems, or unless the record 
contains sufficient Category II information to permit an inference of 
the Category I elements needed to conduct such a search.
    (3) The following guidelines deal with requests for personal 
records. Ordinarily, when personal identifiers are provided only in 
connection with a request for records concerning the requester, only 
records in a PA system of records that can be retrieved by personal 
identifiers need be searched. However, if an Army Activity has reason to 
believe that records on the requester may exist in a record system other 
than a PA system, the Army Activity shall search that system under the 
provisions of the FOIA. In either case, Army Activities may request a 
reasonable description of the records desired before searching for such 
records under the provisions of the FOIA and the PA. If the record is 
required to be released under the FOIA, the Privacy Act does not bar its 
disclosure.
    (4) The previous guidelines notwithstanding, the decision of the 
Army Activity concerning reasonableness of description must be based on 
knowledge of its files. If the description enables Army Activity 
personnel to locate the record with reasonable effort, the description 
is adequate. The fact that a FOIA request is broad or burdensome in its 
magnitude does not, in and of itself, entitle an Army Activity to deny 
the request on the ground that it does not reasonably describe the 
records sought. The key factor is the ability of the Army Activity's 
staff to reasonably ascertain and locate which records are being 
requested.
    (i) Referrals. The Army FOIA referral policy is based upon the 
concept of the originator of a record making a release determination on 
its information. If an Army Activity receives a request for records 
originated by another Army Activity, it will contact the Army Activity 
to determine if it also received the request, and if not, obtain 
concurrence from the other Army Activity to refer the request. An Army 
Activity shall refer a FOIA request for a classified record that it 
holds to another Army Activity, DoD Component, or agency outside the 
DoD, if the record originated in another Army Activity or 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. In either situation, the requester shall be 
advised of the action taken, unless exempt information would be 
revealed. While referrals to originators of information result in 
obtaining the best possible decision on release of the information, the 
policy does not relieve Army Activities from the responsibility of 
making a release decision on a record should the requester object to 
referral of the request and the record. Should this situation occur, 
Army Activities shall still coordinate with the originator of the 
information prior to making a release determination. A request received 
by an Army Activity having no records responsive to a request shall be 
referred routinely to another Army Activity, if

[[Page 147]]

the other Army Activity has reason to believe it has the requested 
records. Prior to notifying a requester of a referral to another Army 
Activity, the Army Activity receiving the initial request shall consult 
with the other Army Activity to determine if that Army Activity's 
association with the material is exempt. If the association is exempt, 
the Army Activity receiving the initial request will protect the 
association and any exempt information without revealing the identity of 
the protected Army Activity. The protected Army Activity should be 
responsible for submitting the justifications required in any 
litigation. Any Army Activity receiving a request that has been 
misaddressed shall refer the request to the proper address and advise 
the requester. Army Activities making referrals of requests for records 
shall include with the referral, a point of contact by name, a telephone 
number, and an e-mail address. If the office receiving the FOIA request 
does not know where the requested records are located, that activity 
will contact the DA, FOIA/PA Office, to determine the office where the 
request should be referred.
    (1) An Army Activity shall refer for response directly to the 
requester a FOIA request for a record that it holds to another Army 
Activity or agency outside the Army, if the record originated in the 
other Army Activity or outside agency. Whenever a record or a portion of 
a record is referred to another Army Activity or to a Government Agency 
outside of the Army for a release determination and direct response, the 
requester shall be informed of the referral, unless it has been 
determined that notification would reveal exempt information. Referred 
records shall only be identified to the extent consistent with security 
requirements.
    (2) An Army Activity may refer a request for a record that it 
originated to another Army Activity or agency when the other Army 
Activity or agency has a valid interest in the record, or the record was 
created for the use of the other Army Activity or agency. In such 
situations, provide the record and a release recommendation on the 
record with the referral action. Include a point of contact with the 
telephone number. An example of such a situation is a request for audit 
reports prepared by the U.S. Army Audit Agency. These advisory reports 
are prepared for the use of contracting officers and their release to 
the audited contractor shall be at the discretion of the contracting 
officer. A FOIA request shall be referred to the appropriate Army 
Activity and the requester shall be notified of the referral, unless 
exempt information would be revealed. Another example is a record 
originated by an Army Activity or agency that involves foreign 
relations, and could affect an Army Activity or organization in a host 
foreign country. Such a request and any responsive records may be 
referred to the affected Army Activity or organization for consultation 
prior to a final release determination within DA.
    (3) Within DA, an Army Activity shall ordinarily refer a FOIA 
request and a copy of the record it holds but that originated with 
another Army Activity or that contains substantial information obtained 
from another Army Activity, to that Activity for direct response, after 
direct coordination and obtaining concurrence from the Activity. The 
requester then shall be notified of such referral. Army Activities shall 
not, in any case, release or deny such records without prior 
consultation with the other Army Activity.
    (4) Army Activities that receive referred requests shall answer them 
in accordance with the time limits established by the FOIA, this part, 
and their multitrack processing queues, based upon the date of initial 
receipt of the request at the referring Activity or agency.
    (5) Agencies outside DA that are subject to the FOIA.
    (i) An Army Activity may refer a FOIA request for any record that 
originated in an agency outside DA 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 Army Activity must respond to the 
request.
    (ii) An Army Activity shall refer to the agency that provided the 
record any FOIA request for investigative, intelligence, or any other 
type of records

[[Page 148]]

that are on loan to DA 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, an Army Activity may only respond directly to the requester 
after coordination with the outside agency.
    (6) Army Activities that receive requests for records of the 
National Security Council (NSC), the White House, or the White House 
Military Office (WHMO) shall process the requests. Army records in which 
the NSC or White House has a concurrent reviewing interest, and NSC, 
White House, or WHMO records discovered in Army Activity's files shall 
be forwarded through DA, FOIA/PA Office, to the Washington Headquarters 
Services, Office For Freedom of Information and Security Review 
(OFOISR). The OFOISR shall coordinate with the NSC, White House, or WHMO 
and return the records to the originating agency after coordination.
    (7) To the extent referrals are consistent with the policies 
expressed by this section, referrals between offices of the same Army 
Activity are authorized.
    (8) On occasion, the DA receives FOIA requests for Government 
Accountability Office (GAO) records containing Army information. Even 
though the GAO is outside the Executive Branch, and not subject to the 
FOIA, all FOIA requests for GAO documents containing Army information 
received either from the public or on referral from the GAO shall be 
processed under the provisions of the FOIA.
    (j) Authentication. Records provided under this part shall be 
authenticated with an appropriate seal, whenever necessary, to fulfill 
an official Government or other legal function. This service, however, 
is in addition to that required under the FOIA and is not included in 
the FOIA fee schedule. Army Activities may charge for the service at a 
rate of $5.20 for each authentication.
    (k) Records management. FOIA records shall be maintained and 
disposed of in accordance with the National Archives and Records 
Administration (NARA) General Records Schedule and DoD Component records 
schedules.
    (l) Record-keeping requirements in accordance with the Army Records 
Information Management System (ARIMS). The records listed below are 
required by ARIMS in the conduct of the daily business of the Army to 
provide adequate and proper documentation to protect the rights and 
interests of individuals and the Federal Government. The full 
description of the records and their disposition is found at https://
www2.arims.army.mil.
    (1) FOIA requests, access, and denials;
    (2) FOIA administrative files;
    (3) FOIA appeals;
    (4) FOIA controls;
    (5) FOIA reports;
    (6) Access to information files;
    (7) Safeguarded nondefense information releases;
    (8) Nonsafeguarded information releases;
    (9) Unauthorized disclosure reports;
    (10) Acknowledgement; and
    (11) Initial Denial Authority designations/appointments.
    (m) Relationship between the FOIA and the Privacy Act (PA). Not all 
requesters are knowledgeable of the appropriate statutory authority to 
cite when requesting records, nor are all of them aware of appeal 
procedures. In some instances, they may cite neither Act, but will imply 
one or both Acts. For these reasons, the below guidelines are provided 
to ensure that requesters receive the greatest amount of access rights 
under both Acts.
    (1) If the record is required to be released under the FOIA, the PA 
does not bar its disclosure. Unlike the FOIA, the PA applies only to 
U.S. citizens and aliens lawfully admitted for permanent residence.
    (2) Requesters who seek records about themselves contained in a PA 
system of records and who cite or imply only the PA, will have their 
requests processed under the provisions of both the PA and the FOIA. If 
the PA system of records is exempt from the provisions of 5 U.S.C. 
552a(d)(1) and if the records, or any portion thereof, are exempt under 
the FOIA, the requester

[[Page 149]]

shall be so advised with the appropriate PA and FOIA exemption. Appeals 
shall be processed under both Acts.
    (3) Requesters who seek records about themselves that are not 
contained in a Privacy Act system of records and who cite or imply the 
PA will have their requests processed under the provisions of the FOIA, 
since the PA does not apply to these records. Appeals shall be processed 
under the FOIA.
    (4) Requesters who seek records about themselves that are contained 
in a PA system of records and who cite or imply the FOIA or both Acts 
will have their requests processed under the provisions of both the PA 
and the FOIA. If the PA system of records is exempt from the provisions 
of 5 U.S.C. 552a(d)(1) and if the records, or any portion thereof, are 
exempt under the FOIA, the requester shall be so advised with the 
appropriate PA and FOIA exemption. Appeals shall be processed under both 
Acts.
    (5) Requesters who seek access to agency records that are not part 
of a PA system of records, and who cite or imply the PA and FOIA, will 
have their requests processed under the FOIA since the PA does not apply 
to these records. Appeals shall be processed under the FOIA. Requesters 
who seek access to agency records and who cite or imply the FOIA will 
have their requests and appeals processed under the FOIA.
    (6) Requesters shall be advised in the final response letter, which 
Act(s) was (were) used, inclusive of appeal rights as outlined in 
paragraphs (m)(1) through (5) of this section.
    (n) Non-responsive information in responsive records. Army 
Activities shall interpret FOIA requests liberally when determining 
which records are responsive to the requests, and may release non-
responsive information. However, should Army Activities desire to 
withhold non-responsive information, the following steps shall be 
accomplished:
    (1) Consult with the requester, and ask if the requester views the 
information as responsive, and if not, seek the requester's concurrence 
to delete the non-responsive information without a FOIA exemption. 
Reflect this concurrence in the response letter.
    (2) If the responsive record is unclassified, and the requester does 
not agree to deletion of non-responsive information without a FOIA 
exemption, release all non-responsive and responsive information that is 
not exempt. For non-responsive information that is exempt, notify the 
requester that even if the information were determined responsive, it 
would likely be exempt under (state appropriate exemption(s)). Advise 
the requester of the right to request this information under a separate 
FOIA request. The separate request shall be placed in the same location 
within the processing queue as the original request.
    (3) If the responsive record is classified, and the requester does 
not agree to deletion of non-responsive information without a FOIA 
exemption, release all unclassified responsive and non-responsive 
information that is not exempt. The classified, non-responsive 
information need not be reviewed for declassification at this point. 
Advise the requester that even if the classified information were 
determined responsive, it would likely be exempt under 5 U.S.C. 
552(b)(1), and other exemptions if appropriate. Advise the requester of 
the right to request this information under a separate FOIA request. The 
separate request shall be placed in the same location within the 
processing queue as the original request.
    (o) Honoring form or format requests. Army Activities shall provide 
the record in any form or format requested by the requester if the 
record is readily reproducible in that form or format. Army Activities 
shall make reasonable efforts to maintain their records in forms or 
formats that are reproducible. In responding to requests for records, 
Army Activities shall make reasonable efforts to search for records in 
electronic form or format, except when such efforts would significantly 
interfere with the operation of the Army Activities' automated 
information system. Such determinations shall be made on a case-by-case 
basis.

[[Page 150]]



                      Subpart B_FOIA Reading Rooms



Sec. 518.9  Reading room.

    (a) Reading room location. The DA shall provide an appropriate 
facility or facilities where the public may inspect and copy or have 
copied the records described in paragraphs (b)(1) through (4) of this 
section. In addition to the records described, DA may elect to place 
other records in their reading room, and also make them electronically 
available to the public. The Army may share reading room facilities with 
DoD Components if the public is not unduly inconvenienced, and also may 
establish decentralized reading rooms. When appropriate, the cost of 
copying may be imposed on the person requesting the material in 
accordance with the provisions of subpart F of this part. The Army FOIA 
Public Reading Room is operated by the DA, FOIA/PA Office.
    (b) Record availability. The FOIA requires that records described in 
5 U.S.C. 552(a)(2)(A), (B), (C), and (D) created on or after November 1, 
1996, shall be made available electronically, as well as in hard copy in 
the FOIA reading room for inspection and copying, unless such records 
are published and copies are offered for sale. All portions determined 
to be exempt in accordance with 5 U.S.C. 552 (reference (a)) shall be 
deleted from all 5 U.S.C. 552(a)(2) records made available to the 
general public. In every case, justification for the deletion must be 
fully explained in writing, and the extent of such deletion shall be 
indicated on the record that is made publicly available, unless such 
indication would harm an interest protected by an exemption under which 
the deletion was made. If technically feasible, the extent of the 
deletion in electronic records or any other form of record shall be 
indicated at the place in the record where the deletion was made. 
However, the Army may publish in the Federal Register a description of 
the basis upon which it will delete identifying details of particular 
types of records to avoid clearly unwarranted invasions of privacy, or 
competitive harm to business submitters. In appropriate cases, the Army 
may refer to this description rather than write a separate justification 
for each deletion. 5 U.S.C. 552(a)(2)(A), (B), (C), and (D) records are:
    (1) (a)(2)(A) records. 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) (a)(2)(B) records. Statements of policy and interpretations that 
have been adopted by the agency that are not published in the Federal 
Register; and
    (3) (a)(2)(C) records. Administrative staff manuals and 
instructions, or portions thereof that establish Army 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 Army. Examples of 
manuals and instructions not normally made available are:
    (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; and
    (ii) Operations and maintenance manuals and technical information 
concerning munitions, equipment, systems, and intelligence activities.
    (4) (a)(2)(D) records. Those 5 U.S.C. 552(a)(3) records, which 
because of the nature of the subject matter, have become or are likely 
to become the subject of subsequent requests for substantially the same 
records. These records are referred to as FOIA-processed (a)(2) records.
    (i) Army Activities shall decide on a case by case basis whether 
records fall into this category, based on previous experience of the 
Army Activity with similar records; particular circumstances of the 
records involved, including their nature and the type of information 
contained in them; or the identity and number of requesters and whether 
there is widespread press, historic, or commercial interest in the 
records.
    (ii) This provision is intended for situations where public access 
in a timely

[[Page 151]]

manner is important, and it is not intended to apply where there may be 
a limited number of requests over a short period of time from a few 
requesters. Army Activities may remove the records from this access 
medium when the appropriate officials determine that access is no longer 
necessary.
    (iii) Should a requester submit a FOIA request for FOIA-processed 
(a)(2) records, and insist that the request be processed, Army 
Activities shall process the FOIA request. However, Army Activities have 
no obligation to process a FOIA request for 5 U.S.C. 552(a)(2)(A), (B), 
and (C) records because these records are required to be made public and 
not FOIA-processed under paragraph (a)(3) of the FOIA.



Sec. 518.10  ``(a)(2)'' materials.

    (a) The DA FOIA/PA Office shall maintain in the facility an index of 
materials described in paragraphs (b)(1) through (4) of Sec. 518.9, 
that are issued, adopted, or promulgated after July 4, 1967. No 
``(a)(2)'' materials issued, promulgated, or adopted after July 4, 1967 
that are not indexed and either made available or published may be 
relied upon, used or cited as precedent against any individual unless 
such individual has actual and timely notice of the contents of such 
materials. Such materials issued, promulgated, or adopted before July 4, 
1967 need not be indexed, but must be made available upon request if not 
exempted under this part.
    (b) The DA FOIA/PA Office shall promptly publish quarterly or more 
frequently, and distribute, by sale or otherwise, copies of each index 
of ``(a)(2)'' materials or supplements thereto unless it publishes in 
the Federal Register an order containing a determination that 
publication is unnecessary and impracticable. A copy of each index or 
supplement not published shall be provided to a requester at a cost not 
to exceed the direct cost of duplication as set forth in subpart F of 
this part.
    (c) Each index of ``(a)(2)'' materials or supplement thereto shall 
be arranged topically or by descriptive words rather than by case name 
or numbering system so that members of the public can readily locate 
material. Case name and numbering arrangements, however, may also be 
included for Army convenience.
    (d) A general index of FOIA-processed (a)(2) records shall be made 
available to the public, both in hard copy and electronically.



Sec. 518.11  Other materials.

    (a) Any available index of Army material published in the Federal 
Register, such as material required to be published by section 552(a)(1) 
of the FOIA, shall be made available in the Army FOIA Public Reading 
Room, and electronically to the public.
    (b) Although not required to be made available in response to FOIA 
requests or made available in FOIA Reading Rooms, ``(a)(1)'' materials 
shall, when feasible, be made available to the public in FOIA reading 
rooms for inspection and copying, and by electronic means. Examples of 
``(a)(1)'' materials are descriptions of an agency's central and field 
organization, and to the extent they affect the public, rules of 
procedures, descriptions of forms available, instruction as to the scope 
and contents of papers, reports, or examinations, and any amendment, 
revision, or report of the aforementioned.



                          Subpart C_Exemptions



Sec. 518.12  General.

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



Sec. 518.13  FOIA exemptions.

    The following types of records may be withheld in whole or in part 
from public disclosure under the FOIA, unless otherwise prescribed by 
law. A discretionary release of a record to one requester shall prevent 
the withholding of the same record under a FOIA exemption if the record 
is subsequently requested by someone else. However, a FOIA exemption may 
be invoked to withhold information that is similar or related to that 
which has been the subject of a discretionary release. In applying 
exemptions, the identity of the

[[Page 152]]

requester and the purpose for which the record is sought are irrelevant 
with the exception that an exemption may not be invoked where the 
particular interest to be protected is the requester's interest. 
However, if the subject of the record is the requester for the record 
and the record is contained in a PA system of records, it may only be 
denied to the requester if withholding is both authorized by AR 25-71 
and by a FOIA exemption.
    (a) Number 1 (5 U.S.C. 552 (b)(1)). Those properly and currently 
classified in the interest of national defense or foreign policy, as 
specifically authorized under the criteria established by Executive 
Order and implemented by regulations, such as DoD 5200.1-R. Although 
material is not classified at the time of the FOIA request, a 
classification review may be undertaken to determine whether the 
information should be classified. The procedures in DoD 5200.1-R apply. 
If the information qualifies as exemption 1 information, there is no 
discretion regarding its release. In addition, this exemption shall be 
invoked when the following situations are apparent:
    (1) The fact of the existence or nonexistence of a record would 
itself reveal classified information. In this situation, Army Activities 
shall neither confirm nor deny the existence or nonexistence of the 
record being requested. A ``refusal to confirm or deny'' response must 
be used consistently, not only when a record exists, but also when a 
record does not exist. Otherwise, the pattern of using a ``no record'' 
response when a record does not exist, and a ``refusal to confirm or 
deny'' when a record does exist will itself disclose national security 
information.
    (2) Compilations of items of information that are individually 
unclassified may be classified if the compiled information reveals 
additional association or relationship that meets the standard for 
classification under an existing executive order for classification and 
DoD 5200.1-R, and is not otherwise revealed in the individual items of 
information.
    (b) Number 2 (5 U.S.C. 552(b)(2)). Those related solely to the 
internal personnel rules and practices of the DoD or any of its 
Components. This exemption has two profiles, high (b)(2) and low (b)(2). 
Activities are encouraged to consult the DA, FOIA/PA Office, and the 
U.S. DoJ ``Freedom of Information Act Guide & Privacy Act Overview'' for 
a more in depth discussion on the legal history of the use of the low 
(b)(2) exemption. When only a minimal Government interest would be 
affected (administrative burden), Army Activities shall apply the sound 
legal basis standard regarding disclosure of the information. Army 
Activities shall apply the low 2 exemption as applicable.
    (1) Records qualifying under high (b)(2) are those containing or 
constituting statutes, rules, regulations, orders, manuals, directives, 
instructions, security classification guides, and sensitive but 
unclassified information related to America's homeland security and 
critical infrastructure information the release of which would allow 
circumvention of these records thereby substantially hindering the 
effective performance or present an unwarranted risk of adverse impact 
on the ability of other agencies to protect other important records of a 
significant function of the DA. Examples include:
    (i) Those operating rules, guidelines, and manuals for Army 
investigators, inspectors, auditors, or examiners that must remain 
privileged in order for the Army Activity to fulfill a legal 
requirement;
    (ii) Personnel and other administrative matters, such as examination 
questions and answers used in training courses or in the determination 
of the qualifications of candidates for employment, entrance on duty, 
advancement, or promotion; and
    (iii) Computer software, the release of which would allow 
circumvention of a statute, DoD or Army rules, regulations, orders, 
manuals, directives, or instructions. In this situation, the use of the 
software must be closely examined to ensure a circumvention possibility 
exists.
    (2) Records qualifying under the low (b)(2) profile are those that 
are trivial and housekeeping in nature for which there is no legitimate 
public interest or benefit to be gained by release, and it would 
constitute an administrative burden to process the request in order

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to disclose the records. Examples include rules of personnel's use of 
parking facilities or regulation of lunch hours, statements of policy as 
to sick leave, and administrative data such as file numbers, mail 
routing stamps, initials, data processing notations, brief references to 
previous communications, and other like administrative markings. Army 
Activities shall apply the low 2 exemption as applicable.
    (c) Number 3 (5 U.S.C. 552(b)(3)). Those concerning matters that a 
statute specifically exempts from disclosure by terms that permit no 
discretion on the issue, or in accordance with criteria established by 
that statute for withholding or referring to particular types of matters 
to be withheld. The DA, FOIA/PA Office, maintains a list of (b)(3) 
statutes used within the DoD, and provides updated lists of these 
statutes to Army Activities on a periodic basis. A few examples of such 
statutes are:
    (1) Personnel in Overseas, Sensitive, or Routinely Deployable Units: 
nondisclosure of personally identifying information, 10 U.S.C. 130(b). 
Additionally, the names and duty addresses (postal and/or e-mail) of 
Army military and civilian personnel who are assigned to units that are 
sensitive, routinely deployable, or stationed in foreign territories can 
constitute a clearly unwarranted invasion of personal privacy and may 
also be withheld in accordance with FOIA Exemption 3. Names and duty 
addresses (postal and/or e-mail) published in telephone directories, 
organizational charts, rosters and similar materials for personnel 
assigned to units that are sensitive, routinely deployable, or stationed 
in foreign territories are withholdable under this exemption, in 
accordance with 10 U.S.C. 130 `Personnel in Overseas, Sensitive, or 
Routinely Deployable Units';
    (2) Classification and Declassification of Restricted Data, 42 
U.S.C. 2162;
    (3) Disclosure of Classified Information, 18 U.S.C. 798(a);
    (4) Authority to Withhold from Public Disclosure Certain Technical 
Data, 10 U.S.C. 130 and DoDD 5230.25;
    (5) Confidentiality of Medical Quality Assurance Records: Qualified 
Immunity for Participants, 10 U.S.C. 1102(f);
    (6) Physical Protection of Special Nuclear Material: Limitation on 
Dissemination of Unclassified Information, 10 U.S.C. 128;
    (7) Protection of Intelligence Sources and Methods, 50 U.S.C. 403-
3(c)(6);
    (8) Prohibition on Release of Contractor Submitted Proposals, 10 
U.S.C. 2305(g);
    (9) Restrictions on Disclosing and Obtaining Contractor Bid or 
Proposal Information or Source Selection Information, 41 U.S.C. 423; and
    (10) Secrecy of Certain Inventions and Filing Applications in a 
Foreign Country, 35 U.S.C. 181-188. Any records containing information 
relating to inventions that are the subject of patent applications on 
which Patent Secrecy Orders have been issued.
    (d) Number 4 (5 U.S.C. 552(b)(4)). Those containing trade secrets or 
commercial or financial information that an Army Activity receives from 
a person or organization outside the Government with the understanding 
that the information or record will be retained on a privileged or 
confidential basis in accordance with the customary handling of such 
records. Records within the exemption must contain trade secrets, or 
commercial or financial records, the disclosure of which is likely to 
cause substantial harm to the competitive position of the source 
providing the information, impair the Government's ability to obtain 
necessary information in the future, or impair some other legitimate 
Government interest. Commercial or financial information submitted on a 
voluntary basis, absent any exercised authority prescribing criteria for 
submission is protected without any requirement to show competitive 
harm. If the information qualifies as exemption 4 information, there is 
no discretion in its release. Examples include:
    (1) Commercial or financial information received in confidence in 
connection with loans, bids, contracts, or proposals set forth in or 
incorporated by reference in a contract entered into between the Army 
Activity and the offeror that submitted the proposal, as well as other 
information received in confidence or privileged, such as trade secrets, 
inventions, discoveries, or other proprietary data. Additionally, when

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the provisions of 10 U.S.C. 2305(g) and 41 U.S.C. 423 are met, certain 
proprietary and source selection information may be withheld under 
exemption 3;
    (2) Statistical data and commercial or financial information 
concerning contract performance, income, profits, losses, and 
expenditures, if offered and received in confidence from a contractor or 
potential contractor;
    (3) Personal statements given in the course of inspections, 
investigations, or audits, when such statements are received in 
confidence from the individual and retained in confidence because they 
reveal trade secrets or commercial or financial information normally 
considered confidential or privileged;
    (4) Financial data provided in confidence by private employers in 
connection with locality wage surveys that are used to fix and adjust 
pay schedules applicable to the prevailing wage rate of employees within 
the DA;
    (5) Scientific and manufacturing processes or developments 
concerning technical or scientific data or other information submitted 
with an application for a research grant, or with a report while 
research is in progress;
    (6) Technical or scientific data developed by a contractor or 
subcontractor exclusively at private expense, and technical or 
scientific data developed in part with Federal funds and in part at 
private expense, wherein the contractor or subcontractor has retained 
legitimate proprietary interests in such data in accordance with 10 
U.S.C. 2320-2311 and DoD Federal Acquisition Regulation Supplement 
(DFARS), subpart 27.4. Technical data developed exclusively with Federal 
funds may be withheld under Exemption Number 3 if it meets the criteria 
of 10 U.S.C. 130 and DoDD 5230.25;
    (7) Computer software, which is copyrighted in accordance with 17 
U.S.C. 106, `Exclusive rights in Copyrighted Works, the disclosure of 
which would have an adverse impact on the potential market value of a 
copyrighted work; and
    (8) Proprietary information submitted strictly on a voluntary basis, 
absent any exercised authority prescribing criteria for submission. 
Examples of exercised authorities prescribing criteria for submission 
are statutes, Executive Orders, regulations, invitations for bids, 
requests for proposals, and contracts. Submission of information under 
these authorities is not voluntary.
    (e) Number 5 (5 U.S.C. 552(b)(5)). Those containing information 
considered privileged in litigation, primarily under the deliberative 
process privilege. Except as provided in paragraphs (e)(1) through (5) 
of this section, internal advice, recommendations, and subjective 
evaluations, as contrasted with factual matters that are reflected in 
deliberative records pertaining to the decision-making process of an 
agency, whether within or among agencies (as defined in 5 U.S.C. 
552(e)), or within or among Army Activities. In order to meet the test 
of this exemption, the record must be both deliberative in nature, as 
well as part of a decision-making process. Merely being an internal 
record is insufficient basis for withholding under this exemption. Also 
potentially exempted are records pertaining to the attorney-client 
privilege and the attorney work-product privilege. Discretionary 
disclosure decisions should be made only after full and deliberate 
consideration of the institutional, commercial, and personal privacy 
interests that could be implicated by disclosure of the information.
    (1) Examples of the deliberative process include:
    (i) The non-factual portions of staff papers, to include after-
action reports, lessons learned, and situation reports containing staff 
evaluations, advice, opinions, or suggestions;
    (ii) Advice, suggestions, or evaluations prepared on behalf of the 
DA by individual consultants or by boards, committees, councils, groups, 
panels, conferences, commissions, task forces, or other similar groups 
that are formed for the purpose of obtaining advice and recommendations;
    (iii) Those non-factual portions of evaluations by DoD Component 
personnel of contractors and their products;
    (iv) Information of a speculative, tentative, or evaluative nature 
or such matters as proposed plans to procure, lease or otherwise acquire 
and dispose of materials, real estate, facilities or

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functions, when such information would provide undue or unfair 
competitive advantage to private personal interests or would impede 
legitimate government functions;
    (v) Trade secret or other confidential research development, or 
commercial information owned by the Government, where premature release 
is likely to affect the Government's negotiating position or other 
commercial interest;
    (vi) Those portions of official reports of inspection, reports of 
the Inspector Generals, audits, investigations, or surveys pertaining to 
safety, security, or the internal management, administration, or 
operation of one or more Army Activities, when these records have 
traditionally been treated by the courts as privileged against 
disclosure in litigation; and
    (vii) Planning, programming, and budgetary information that is 
involved in the defense planning and resource allocation process.
    (2) If any such intra- or inter-agency record or reasonably 
segregable portion of such record hypothetically would be made available 
routinely through the discovery process in the course of litigation with 
the Army, then it should not be withheld under the FOIA. If, however, 
the information hypothetically would not be released at all, or would 
only be released in a particular case during civil discovery where a 
party's particularized showing of need might override a privilege, then 
the record may be withheld. Discovery is the formal process by which 
litigants obtain information from each other for use in the litigation. 
Consult with legal counsel to determine whether exemption 5 material 
would be routinely made available through the discovery process.
    (3) Intra- or inter-agency memoranda or letters that are factual, or 
those reasonably segregable portions that are factual, are routinely 
made available through discovery, and shall be made available to a 
requester, unless the factual material is otherwise exempt from release, 
inextricably intertwined with the exempt information, so fragmented as 
to be uninformative, or so redundant of information already available to 
the requester as to provide no new substantive information.
    (4) A direction or order from a superior to a subordinate, though 
contained in an internal communication, generally cannot be withheld 
from a requester if it constitutes policy guidance or a decision, as 
distinguished from a discussion of preliminary matters or a request for 
information or advice that would compromise the decision-making process.
    (5) An internal communication concerning a decision that 
subsequently has been made a matter of public record must be made 
available to a requester when the rationale for the decision is 
expressly adopted or incorporated by reference in the record containing 
the decision.
    (f) Number 6 (5 U.S.C. 552(b)(6)). Information in personnel and 
medical files, as well as similar personal information in other files, 
and lists of personally identifying information of Army personnel, that, 
if disclosed to a requester, other than the person about whom the 
information is about, would result in a clearly unwarranted invasion of 
personal privacy. Release of information about an individual contained 
in a Privacy Act System of Records that would constitute a clearly 
unwarranted invasion of privacy is prohibited, and could subject the 
releaser to civil and criminal penalties. If the information qualifies 
as exemption 6 information, there is no discretion regarding its 
release.
    (1) Examples of other files containing personal information similar 
to that contained in personnel and medical files include:
    (i) Those compiled to evaluate or adjudicate the suitability of 
candidates for civilian employment or membership in the Armed Forces, 
and the eligibility of individuals (civilian, military, or contractor 
employees) for security clearances, or for access to particularly 
sensitive classified information; and
    (ii) Files containing reports, records, and other material 
pertaining to personnel matters in which administrative action, 
including disciplinary action, may be taken.
    (2) Army components shall ordinarily withhold lists of names 
(including active duty military, civilian employees, contractors, 
members of the National

[[Page 156]]

Guard and Reserves, and military dependents) and other personally 
identifying information, including lists of e-mail addresses of 
personnel currently or recently assigned within a particular component, 
unit, organization, or office within the Army. Home addresses, including 
private e-mail addresses, are normally not releasable without the 
consent of the individuals concerned. This includes lists of home 
addresses and military quarters' addressees without the occupant's name.
    (i) Privacy Interest. A privacy interest may exist in personal 
information even though the information has been disclosed at some place 
and time. If personal information is not freely available from sources 
other than the Federal Government, a privacy interest exists in its 
nondisclosure. The fact that the Federal Government expended funds to 
prepare, index and maintain records on personal information, and the 
fact that a requester invokes FOIA to obtain these records indicates the 
information is not freely available.
    (ii) The right to privacy of deceased persons is not entirely 
settled, but the majority rule is that death extinguishes their privacy 
rights. However, particularly sensitive, graphic, personal details about 
the circumstances surrounding an individual's death may be withheld when 
necessary to protect the privacy interests of surviving family members. 
Even information that is not particularly sensitive in and of itself may 
be withheld to protect the privacy interests of surviving family members 
if disclosure would rekindle grief, anguish, pain, embarrassment, or 
cause a disruption of their peace of minds. Additionally, the deceased's 
social security number should be withheld since it is used by the next 
of kin to receive benefits. Disclosures of the deceased's social 
security number may be made to the immediate next of kin.
    (iii) A clearly unwarranted invasion of the privacy of third parties 
identified in a personnel, medical or similar record constitutes a basis 
for deleting those reasonably segregable portions of that record. When 
withholding third party personal information from the subject of the 
record and the record is contained in a Privacy Act system of records, 
consult with legal counsel.
    (iv) This exemption also applies when the fact of the existence or 
nonexistence of a responsive record would itself reveal personally 
private information, and the public interest in disclosure is not 
sufficient to outweigh the privacy interest. In this situation, Army 
Activities shall neither confirm nor deny the existence or nonexistence 
of the record being requested. This is a ``Glomar'' response, and 
exemption 6 must be cited in the response. Additionally, in order to 
ensure personal privacy is not violated during referrals, Army 
Activities shall coordinate telephonically or in person with other Army 
Activities or DoD Components or Federal Agencies before referring a 
record that is exempt under the ``Glomar'' concept. See Phillippi v. 
CIA, 546 F.2d 1009 (DC Cir. 1976).
    (v) A ``refusal to confirm or deny'' response must be used 
consistently, not only when a record exists, but also when a record does 
not exist. Otherwise, the pattern of using a ``no records'' response 
when a record does not exist and a ``refusal to confirm or deny'' when a 
record does exist will itself disclose personally private information. 
Refusal to confirm or deny should not be used when:
    (A) The person whose personal privacy is in jeopardy has provided 
the requester a waiver of his or her privacy rights;
    (B) The person initiated or directly participated in an 
investigation that lead to the creation of an agency record seeks access 
to that record; or
    (C) The person whose personal privacy is in jeopardy is deceased, 
the Agency is aware of that fact, and disclosure would not invade the 
privacy of the deceased's family.
    (g) Number 7 (5 U.S.C. 552(b)(7)). Records or information compiled 
for law enforcement purposes, i.e., civil, criminal, or military, 
including the implementation of Executive Orders or regulations issued 
pursuant to law. This exemption may be invoked to prevent disclosure of 
documents not originally created for, but later gathered for law 
enforcement purposes. With the exception of parts (C) and (F), this 
exemption is discretionary. If information qualifies as exemption (7)(C) 
or

[[Page 157]]

(7)(F) information, there is no discretion in its release.
    (1) This exemption applies, however, only to the extent that 
production of such law enforcement records or information could result 
in the following:
    (i) Could reasonably be expected to interfere with law enforcement 
proceedings (5 U.S.C. 552(b)(7)(A));
    (ii) Would deprive a person of the right to a fair trial or to an 
impartial adjudication (5 U.S.C. 552(b)(7)(B));
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of the personal privacy of a living person, or to surviving 
family members of an individual identified in such a record (5 U.S.C. 
552(b)(7)(C));
    (iv) This exemption also applies when the fact of the existence or 
nonexistence of a responsive record would itself reveal personally 
private information, and the public interest in disclosure is not 
sufficient to outweigh the privacy interest. In this situation, 
Activities shall neither confirm nor deny the existence or nonexistence 
of the record being requested. This is a ``Glomar'' response, and 
exemption (7)(C) must be cited in the response. Additionally, in order 
to ensure personal privacy is not violated during referrals, Army 
Activities shall coordinate with other Army Activities or DoD Components 
or Federal Agencies before referring a record that is exempt under the 
``Glomar'' concept;
    (v) A ``refusal to confirm or deny'' response must be used 
consistently, not only when a record exists, but also when a record does 
not exist. Otherwise, the pattern of using a ``no records'' response 
when a record does not exist and a ``refusal to confirm or deny'' when a 
record does exist will itself disclose personally private information;
    (vi) Refusal to confirm or deny should not be used when the person 
whose personal privacy is in jeopardy has provided the requester with a 
waiver of his or her privacy rights; or the person whose personal 
privacy is in jeopardy is deceased, and the Agency is aware of that fact 
and disclosure would not invade the privacy of the deceased's family;
    (vii) Could reasonably be expected to disclose the identity of a 
confidential source, including a source within DoD, a State, local, or 
foreign agency or authority, or any private institution that furnishes 
the information on a confidential basis; and could disclose information 
furnished from a confidential source and obtained by a criminal law 
enforcement authority in a criminal investigation or by an agency 
conducting a lawful national security intelligence investigation (5 
U.S.C. 552(b)(7)(D));
    (viii) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law (5 U.S.C. 
552(b)(7)(E)); or
    (ix) Could reasonably be expected to endanger the life or physical 
safety of any individual (5 U.S.C. 552(b)(7)(F)).
    (2) Some examples of exemption 7 are:
    (i) Statements of witnesses and other material developed during the 
course of the investigation and all materials prepared in connection 
with related Government litigation or adjudicative proceedings;
    (ii) The identity of firms or individuals being investigated for 
alleged irregularities involving contracting with the DoD when no 
indictment has been obtained or any civil action filed against them by 
the United States; and
    (iii) Information obtained in confidence, expressed or implied, in 
the course of a criminal investigation by a criminal law enforcement 
agency or office within an Army Activity or a DoD Component, or a lawful 
national security intelligence investigation conducted by an authorized 
agency or office within an Army Activity or a DoD Component. National 
security intelligence investigations include background security 
investigations and those investigations conducted for the purpose of 
obtaining affirmative or counterintelligence information.
    (3) The right of individual litigants to investigative records 
currently available by law (such as, the Jencks Act, 18 U.S.C. 3500), is 
not diminished.

[[Page 158]]

    (4) Excluded from exemption 7 are two situations applicable to DoD. 
(Activities considering invoking an exclusion based on the following 
scenarios should first consult through legal counsel, to the DoJ, Office 
of Information and Privacy (DoJ OIP).
    (i) Whenever a request is made that involves access to records or 
information compiled for law enforcement purposes, and the investigation 
or proceeding involves a possible violation of criminal law where there 
is reason to believe that the subject of the investigation or proceeding 
is unaware of its pendency, and the disclosure of the existence of the 
records could reasonably be expected to interfere with enforcement 
proceedings, Activities may, during only such times as that circumstance 
continues, treat the records or information as not subject to the FOIA. 
In such a situation, the response to the requester will state that no 
records were found.
    (ii) Whenever informant records maintained by a criminal law 
enforcement organization within an Army Activity or a DoD Component 
under the informant's name or personal identifier are requested by a 
third party using the informant's name or personal identifier, the 
Activity may treat the records as not subject to the FOIA, unless the 
informant's status as an informant has been officially confirmed. If it 
is determined that the records are not subject to 5 U.S.C. 552(b)(7), 
the response to the requester will state that no records were found.
    (h) Number 8 (5 U.S.C. 552 (b)(8)). Those contained in or related to 
examination, operation or condition reports prepared by, on behalf of, 
or for the use of any agency responsible for the regulation or 
supervision of financial institutions.
    (i) Number 9 (5 U.S.C. 552 (b)(9)). Those containing geological and 
geophysical information and data (including maps) concerning wells.



                     Subpart D_For Official Use Only



Sec. 518.14  General.

    Information that has not been given a security classification 
pursuant to the criteria of an Executive Order, but which may be 
withheld from the public because disclosure would cause harm to an 
interest protected by one or more FOIA exemptions 2 through 9 (see 
Subpart C of this part) shall be considered as being for official use 
only (FOUO). No other material shall be considered FOUO and FOUO is not 
authorized as an additional form of classification to protect national 
security interests. Additional information on FOUO and other controlled, 
unclassified information may be found in DoD 5200.1-R, ``Information 
Security Program'' or by contacting the DA FOIA/PA Office.



               Subpart E_Release and Processing Procedures



Sec. 518.15  General provisions.

    (a) Since the policy of the DoD is to make the maximum amount of 
information available to the public consistent with its other 
responsibilities, written requests for an Army record made under the 
provisions of 5 U.S.C. 552 (a)(3) of the FOIA may be denied only when:
    (1) The record is subject to one or more of the exemptions of the 
FOIA;
    (2) The record has not been described well enough to enable the Army 
Activity to locate it with a reasonable amount of effort by an employee 
familiar with the files; or
    (3) The requester has failed to comply with the procedural 
requirements, including the written agreement to pay or payment of any 
required fee imposed by the instructions of the Army Activity concerned. 
When personally identifiable information in a record is requested by the 
subject of the record or his attorney, notarization of the request, or a 
statement certifying under the penalty of perjury that their identity is 
true and correct may be required. Additionally, written consent of the 
subject of the record is required for disclosure from a PA system of 
records, to include the subject's attorney.
    (4) Release of information under the FOIA can have an adverse impact 
on OPSEC. The Army implementing directive for OPSEC is AR 530-1. It 
requires that OPSEC points of contact be named for all HQDA staff 
agencies and for all commands down to battalion level. The FOIA official 
for the staff

[[Page 159]]

agency or command will use DA Form 4948-R to announce the OPSEC/FOIA 
advisor for the command. Persons named as OPSEC points of contact will 
be OPSEC/FOIA advisors. Command OPSEC/FOIA advisors should implement the 
policies and procedures in AR 530-1, consistent with this part and with 
the following considerations:
    (i) Documents or parts of documents properly classified in the 
interest of national security must be protected. Classified documents 
may be released in response to a FOIA request only under AR 380-5, 
Chapter III. AR 380-5 provides that if parts of a document are not 
classified and can be segregated with reasonable ease, they may be 
released, but parts requiring continued protection must be clearly 
identified.
    (ii) The release of unclassified documents could violate national 
security. When this appears possible, OPSEC/FOIA advisors should request 
a classification evaluation of the document by its proponent under AR 
380-5, paragraphs 2-204, 2-600, 2-800, and 2-801. In such cases, other 
FOIA exemptions may also apply.
    (iii) A combination of unclassified documents, or parts of them, 
could combine to supply information that might violate national security 
if released. When this appears possible, OPSEC/FOIA advisors should 
consider classifying the combined information per AR 380-5, paragraph 2-
211.
    (iv) A document or information may not be properly or currently 
classified when a FOIA request for it is received. In this case, the 
request may not be denied on the grounds that the document or 
information is classified except in accordance with Executive Order 
12958 as amended, section 1.6(d), and AR 380-5, paragraph 2-204, and 
with approval of the Army OGC.
    (5) OPSEC/FOIA advisors will; advise persons processing FOIA 
requests on related OPSEC requirements; help custodians of requested 
documents prepare requests for classification evaluations; and help 
custodians of requested documents identify the parts of documents that 
must remain classified under this section and AR 380-5.
    (6) OPSEC/FOIA advisors do not, by their actions, relieve FOIA 
personnel and custodians processing FOIA requests of their 
responsibility to protect classified or exempted information.
    (b) The provisions of the FOIA are reserved for persons with private 
interests as opposed to U.S. Federal Agencies seeking official 
information. Requests from private persons will be made in writing, and 
should clearly show all other addressees within the Federal Government 
to which the request was also sent. This procedure will reduce 
processing time requirements, and ensure better inter- and intra-agency 
coordination. However, if the requester does not show all other 
addressees to which the request was also sent, Army Activities shall 
still process the request. Army Activities should encourage requesters 
to send requests by mail, facsimile, or by electronic means. Disclosure 
of records to individuals under the FOIA is considered public release of 
information, except as provided in this paragraph. DA officials will 
release the following records, upon request, to the persons specified 
below, even though these records are exempt from release to the general 
public. The statutory 20 working day limit applies.
    (1) Medical records. Commanders or chiefs of medical treatment 
facilities will release information:
    (i) On the condition of sick or injured patients to the patient's 
relatives to the extent permitted by law and regulation.
    (ii) That a patient's condition has become critical to the nearest 
known relative or to the person the patient has named to be informed in 
an emergency.
    (iii) That a diagnosis of psychosis has been made to the nearest 
known relative or to the person named by the patient.
    (iv) On births, deaths, and cases of communicable diseases to local 
officials (if required by local laws).
    (v) Copies of records of present or former soldiers, dependents, 
civilian employees, or patients in DA medical facilities will be 
released to the patient or to the patient's representative on written 
request. The attending physician can withhold records if he or she 
thinks that release may injure the patient's mental or physical health; 
in that case, copies of records will be released to the patient's next 
of kin or

[[Page 160]]

legal representative or to the doctor or dentist chosen by the patient. 
If the patient is adjudged insane, or dies, the copies will be released, 
on written request, to the patient's next of kin or legal 
representative.
    (vi) Copies of records may be given to a Federal or State hospital 
or penal institution if the person concerned is an inmate or patient 
there.
    (vii) Copies of records or information from them may be given to 
authorized representatives of certain agencies. The National Academy of 
Sciences, the National Research Council, and other accredited agencies 
are eligible to receive such information when they are engaged in 
cooperative studies, with the approval of The Surgeon General of the 
Army. However, certain information on drug and alcohol use cannot be 
released. AR 600-85 covers the Army's substance abuse program.
    (viii) Copies of pertinent parts of a patient's records can be 
furnished to the staff judge advocate or legal officer of the command in 
connection with the Government's collection of a claim. If proper, the 
legal officer can release this information to the tortfeasor's insurer 
without the patient's consent.
    Note: Information released to third parties must be accompanied by a 
statement of the conditions of release. The statement will specify that 
the information not be disclosed to other persons except as privileged 
communication between doctor and patient.
    (2) Military personnel records. Military personnel records will be 
released under these conditions:
    (i) DA must provide specific information about a person's military 
service (statement of military service) in response to a request by that 
person or with that person's written consent to his or her legal 
representative;
    (ii) Papers relating to applications for, designation of 
beneficiaries under, and allotments to pay premiums for, National 
Service Life Insurance or Serviceman's Group Life Insurance will be 
released to the applicant or to the insured. If the insured is adjudged 
insane (evidence of an insanity judgment must be included) or dies, the 
records will be released, on request, to designated beneficiaries or to 
the next of kin;
    (iii) Copies of DA documents that record the death of a soldier, a 
dependent, or a civilian employee will be released, on request, to that 
person's next of kin, life insurance carrier, and legal representative. 
A person acting on behalf of someone else concerned with the death 
(e.g., the executor of a will) may also obtain copies by submitting a 
written request that includes evidence of his or her representative 
capacity. That representative may give written consent for release to 
others; or
    (iv) Papers relating to the pay and allowances or allotments of a 
present or former soldier will be released to the soldier or his or her 
authorized representative. If the soldier is deceased, these papers will 
be released to the next of kin or legal representatives.
    (3) Civilian personnel records. Civilian Personnel Officers (CPO) 
with custody of papers relating to the pay and allowances or allotments 
of current or former civilian employees will release them to the 
employee or his or her authorized representative. If the employee is 
deceased, these records will be released to the next of kin or legal 
representative. However, a CPO cannot release statements of witnesses, 
medical records, or other reports or documents pertaining to 
compensation for injuries or death of a DA civilian employee.
    (4) Accused persons. Release of information to the public concerning 
accused persons before determination of the case. Such release may 
prejudice the accused's opportunity for a fair and impartial 
determination of the case. The following procedures apply:
    (i) The following information concerning persons accused of an 
offense may be released by the convening authority to public news 
agencies or media. The accused's name, grade or rank, unit, regular 
assigned duties, and other information as allowed by AR 25-71, paragraph 
3-3a. The substance or text of the offense of which the person is 
accused. The identity of the apprehending or investigating agency and 
the length or scope of the investigation before apprehension. The 
factual circumstances immediately surrounding the apprehension, 
including the time and place of apprehension, resistance, or pursuit. 
The type and place of custody, if any;

[[Page 161]]

    (ii) Information that will not be released. Before evidence has been 
presented in open court, subjective observations or any information not 
incontrovertibly factual will not be released. Background information or 
information relating to the circumstances of an apprehension may be 
prejudicial to the best interests of the accused, and will not be 
released unless it serves a law enforcement function. The following 
kinds of information will not be released: Observations or comments on 
an accused's character and demeanor, including those at the time of 
apprehension and arrest or during pretrial custody. Statements, 
admissions, confessions, or alibis attributable to an accused, or the 
fact of refusal or failure of the accused to make a statement. Reference 
to confidential sources, investigative techniques and procedures, 
investigator notes, and activity files. This includes reference to 
fingerprint tests, polygraph examinations, blood tests, firearms 
identification tests, or similar laboratory tests or examinations. 
Statements as to the identity, credibility, or testimony of prospective 
witnesses. Statements concerning evidence or argument in the case, 
whether or not that evidence or argument may be used at the trial. Any 
opinion on the accused's guilt. Any opinion on the possibility of a plea 
of guilty to the offense charged, or of a plea to a lesser offense;
    (iii) Other considerations. Photographing or televising the accused. 
DA personnel should not encourage or volunteer assistance to news media 
in photographing or televising an accused or suspected person being held 
or transported in military custody. DA representatives should not make 
photographs of an accused or suspect available unless a law enforcement 
function is served. Requests from news media to take photographs during 
courts-martial are governed by AR 360-1;
    (iv) Fugitives from justice. This section does not restrict the 
release of information to enlist public aid in apprehending a fugitive 
from justice; or
    (v) Exceptional cases. Permission to release information from 
military personnel records to public news agencies or media may be 
requested from The Judge Advocate General (TJAG). Requests for 
information from military personnel records will be processed according 
to this part.
    (5) Litigation, tort claims, and contract disputes. Release of 
information or records under this section are subject to the time 
limitations prescribed by the FOIA. The requester must be advised of the 
reasons for nonrelease or referral.
    (i) Litigation. Each request for a record related to pending 
litigation involving the United States will be referred to the staff 
judge advocate or legal officer of the command. He or she will promptly 
inform the Litigation Division, U.S. Army Legal Services Agency 
(USALSA), of the substance of the request and the content of the record 
requested. (Mailing address: U.S. Army Litigation Center, 901 N. Stuart 
Street, Arlington, VA 22203-1837. If information is released for use in 
litigation involving the United States, the Chief, Army Litigation 
Division (AR 27-40, para 1-4d) must be advised of the release. He or she 
will note the release in such investigative reports. Information or 
records normally exempted from release (i.e., personnel and medical 
records) may be releasable to the judge or court concerned, for use in 
litigation to which the United States is not a party. Refer such 
requests to the local staff judge advocate or legal officer, who will 
coordinate it with the Litigation Center, USALSA.
    (ii) Tort claims. A claimant or a claimant's attorney may request a 
record that relates to a pending administrative tort claim filed against 
the DA. Refer such requests promptly to the claims approving or 
settlement authority that has monetary jurisdiction over the pending 
claim. These authorities will follow AR 27-20. The request may concern 
an incident in which the pending claim is not as large as a potential 
claim; in such a case, refer the request to the authority that has 
monetary jurisdiction over the potential claim. A potential claimant or 
his or her attorney may request information under circumstances clearly 
indicating that it will be used to file a tort claim, though none has 
yet been filed. Refer such requests to the staff judge advocate or legal 
officer of the command.

[[Page 162]]

That authority, when subordinate, will promptly inform the Chief, U.S. 
Army Claims Service (USACS), of the substance of the request and the 
content of the record. (Mailing address: U.S. Army Claims Service, ATTN: 
JACS-TCC, Fort George G. Meade, MD 20755-5360. IDA officials who receive 
requests will refer them directly to the Chief, USACS. They will also 
advise the requesters of the referral and the basis for it. The Chief, 
USACS, will process requests according to this part and AR 27-20, 
paragraph 1-10.
    (iii) Contract disputes. Each request for a record that relates to a 
potential contract dispute or a dispute that has not reached final 
decision by the contracting officer will be treated as a request for 
procurement records and not as litigation. However, the officials will 
consider the effect of release on the potential dispute. Those officials 
may consult with the USALSA, Contract Appeals Division. (Mailing 
address: U.S. Army Legal Services Agency, ATTN: JALS-CA, 901 North 
Stuart Street, Arlington, VA 22203. If the request is for a record that 
relates to a pending contract appeal to the Armed Services Board of 
Contract Appeals, or to a final decision that is still subject to appeal 
(i.e., 90 days have not lapsed after receipt of the final decision by 
the contractor) then the request will be: Treated as involving a 
contract dispute; and referred to the USALSA, Contract Appeals Division.
    (6) Special nuclear material. Dissemination of unclassified 
information concerning physical protection of special nuclear material.
    (i) Unauthorized dissemination of unclassified information 
pertaining to security measures, including security plans, procedures, 
and equipment for the physical protection of special nuclear material, 
is prohibited under 10 U.S.C. 128.
    (ii) This prohibition shall be applied by the Deputy Chief of Staff, 
G-3 as the IDA, to prohibit the dissemination of any such information 
only if and to the extent that it is determined that the unauthorized 
dissemination of such information could reasonably be expected to have a 
significant adverse effect on the health and safety of the public or the 
common defense and security by significantly increasing the likelihood 
of illegal production of nuclear weapons, theft, diversion, or sabotage 
of special nuclear materials, equipment, or facilities.
    (iii) In making such a determination, Army personnel may consider 
what the likelihood of an illegal production, theft, diversion, or 
sabotage would be if the information proposed to be prohibited from 
dissemination were at no time available for dissemination.
    (iv) Army personnel shall exercise the foregoing authority to 
prohibit the dissemination of any information described so as to apply 
the minimum restrictions needed to protect the health and safety of the 
public or the common defense and security, and upon a determination that 
the unauthorized dissemination of such information could reasonably be 
expected to result in a significant adverse effect on the health and 
safety of the public or the common defense and security by significantly 
increasing the likelihood of illegal production of nuclear weapons, 
theft, diversion, or sabotage of special nuclear materials, equipment, 
or facilities.
    (v) Army employees shall not use this authority to withhold 
information from the appropriate committees of Congress.
    (7) Names and duty addresses. Lists of names, including telephone 
directories, organizational charts, and/or staff directories published 
by installations or activities, and other personally identifying 
information will ordinarily be withheld when requested under the FOIA. 
This does not preclude a discretionary release of names and duty 
information of personnel who, by the nature of their position and 
duties, frequently interact with the public, such as general officers, 
public affairs officers, and other personnel designated as official 
command spokespersons. The IDA for telephone directories is delegated to 
the DA, FOIA/PA Office. Public Affairs Offices may, after careful 
analysis, release information determined to have legitimate news value, 
such as notices of personnel reassignments to new units or installations 
within the continental United States, results of selection/promotion 
boards, school graduations/completions, and

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awards and similar personal achievements. They may release the names and 
duty addresses of key officials, if such release is determined to be in 
the interests of advancing official community relation's functions.
    (c) Requests from government officials. Requests from officials of 
State or local Governments for Army Activity records shall be considered 
the same as any other requester. Requests from members of Congress not 
seeking records on behalf of a Congressional Committee, Subcommittee, 
either House sitting as a whole, or made on behalf of their constituents 
shall be considered the same as any other requester. Requests from 
officials of foreign governments shall be considered the same as any 
other requester; however, Army Intelligence elements are statutorily 
prohibited from releasing records responsive to requests made by any 
foreign government or a representative of a foreign government. Requests 
from officials of foreign governments that do not invoke the FOIA shall 
be referred to appropriate foreign disclosure channels and the requester 
so notified.
    (d) Privileged release outside of the FOIA to U.S. government 
officials. Records exempt from release to the public under the FOIA may 
be disclosed in accordance with Army regulations to agencies of the 
Federal Government, whether legislative, executive, or administrative, 
as follows:
    (1) In response to a request of a Committee or Subcommittee of 
Congress, or to either House sitting as a whole in accordance with DoDD 
5400.4. The Army implementing directive is AR 1-20. Commanders or chiefs 
will notify the Chief of Legislative Liaison of all releases of 
information to members of Congress or staffs of congressional 
committees. Organizations that in the normal course of business are 
required to provide information to Congress may be excepted. Handle 
requests by members of Congress (or staffs of congressional committees) 
for inspection of copies of official records as follows:
    (i) National security classified records, follow AR 380-5;
    (ii) Civilian personnel records, members of Congressional 
Committees, Subcommittees, or Joint Committees may examine official 
personnel folders to the extent that the subject matter falls within 
their established jurisdictions, as permitted by 5 CFR 297.401(i);
    (iii) Information related to disciplinary action. This paragraph 
refers to records of trial by courts-martial; nonjudicial punishment of 
military personnel under the Uniform Code of Military Justice, Article 
15; nonpunitive measures such as administrative reprimands and 
admonitions; suspensions of civilian employees; and similar documents. 
If DA has specific instructions on the request, the following will 
apply. Subordinate commanders will not release any information without 
securing the consent of the proper installation commander. The 
installation commander may release the information unless the request is 
for a classified or ``FOUO'' document. In that case the commander will 
refer the request promptly to the Chief of Legislative Liaison for 
action, including the recommendations of the transmitting agency and 
copies of the requested records with the referral.
    (iv) Military personnel records. Only HQDA can release information 
from these records. Custodians will refer all requests from Congress 
directly and promptly to the Chief of Legislative Liaison, HQDA, 
Washington DC 20310-1600.
    (v) Criminal investigation records. Only the Commanding General, 
U.S. Army Criminal Investigation Command (USACIDC), can release any 
USACIDC-originated criminal investigation file. For further information, 
see AR 195-2.
    (vi) Other exempt records. Commanders or chiefs will refer requests 
for all other categories of exempt information directly to the Chief of 
Legislative Liaison. They will include a copy of the material requested 
and, as appropriate, recommendations concerning release or denial.
    (vii) All other records. The commander or chief with custody of the 
records will furnish all other information promptly; to other Federal 
Agencies, both executive and administrative, as determined by the head 
of an Army Activity or designee; or in response to an order of a Federal 
court, Army Activities shall release information along with a 
description of the restrictions on its release to the public;

[[Page 164]]

    (viii) Disciplinary actions and criminal investigations. Requests 
for access to, or information from, the records of disciplinary actions 
or criminal investigations will be honored if proper credentials are 
presented. Representatives of the Office of Personnel Management may be 
given information from personnel files of employees actually employed at 
organizations or activities. Each such request will be considered on its 
merits. The information released will be the minimum required in 
connection with the investigation being conducted.
    (ix) Other types of requests. All other official requests received 
by DA elements from agencies of the executive branch (including other 
military departments) will be honored, if there are no compelling 
reasons to the contrary. If there are reasons to withhold the records, 
the requests will be submitted for determination of the propriety of 
release to the appropriate addresses shown in Appendix B of this part.
    (2) Army Activities shall inform officials receiving records under 
the provisions of this section that those records are exempt from public 
release under the FOIA. Army Activities also shall advise officials of 
any special handling instructions. Classified information is subject to 
the provisions of DoD 5200.1-R, and information contained in Privacy Act 
systems of records is subject to DoD 5400.11-R.
    (e) Consultation with affected DoD component. (1) When an Army 
Activity receives a FOIA request for a record in which an affected Army 
or DoD organization (including a Combatant Command) has a clear and 
substantial interest in the subject matter, consultation with that 
affected Army or DoD organization is required. As an example, where an 
Army Activity receives a request for records related to DoD operations 
in a foreign country, the cognizant Combatant Command for the area 
involved in the request shall be consulted before a release is made. 
Consultations may be telephonic, electronic, or in hard copy.
    (2) The affected Activity shall review the circumstances of the 
request for host-nation relations, and provide, where appropriate, FOIA 
processing assistance to the responding DoD Component regarding release 
of information. Responding Army Activities shall provide copies of 
responsive records to the affected DoD Component when requested. The 
affected DoD Component shall receive a courtesy copy of all releases in 
such circumstances.
    (3) Nothing in Sec. 518.19 shall impede the processing of the FOIA 
request initially received by an Army Activity.



Sec. 518.16  Initial determinations.

    (a) Initial denial authority. The DA officials are designated as the 
Army's only IDAs. Only an IDA, his or her delegate, or the Secretary of 
the Army can deny FOIA requests for DA records. Each IDA will act on 
direct and referred requests for records within his or her area of 
functional responsibility. (See the proper AR in the 10 series for full 
discussions of these areas. Included are records created or kept within 
the IDA's area of responsibility; records retired by, or referred to, 
the IDA's headquarters or office; and records of predecessor 
organizations. If a request involves the areas of more than one IDA, the 
IDA to whom the request was originally addressed will normally respond 
to it; however, the affected IDAs may consult on such requests and agree 
on responsibility for them. IDAs will complete all required coordination 
at initial denial level. This includes classified records retired to the 
NARA when a mandatory declassification review is necessary. Requests 
and/or responsive documents should not be sent to the DA FOIA/PA Office 
for initial denial authority or to forward to other offices within the 
DA.
    (b) FOIA requesters may ultimately appeal if they are dissatisfied 
with adverse determinations. It is crucial to forward complete packets 
to the IDAs. Ensure cover letters list all attachments and describe from 
where the records were obtained, i.e., a PA system of records (including 
the applicable systems notice), or other. If a FOIA action is 
complicated, include a chronology of events to assist the IDA in 
understanding what happened in the course of processing the FOIA 
request. If a file does not include documentation described below, 
include the tab,

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and insert a page marked ``not applicable'' or ``not used.'' The order 
and contents of FOIA file attachments follow: (Tab A or 1) The original 
FOIA request and envelope (if applicable); (Tab B or 2) The response 
letter; (Tab C or 3) Copies of all records entirely released, single-
sided; (Tab D or 4) Copies of administrative processing documents, 
including extension letters and ``no records'' certificates, in 
chronological order; (Tab E or 5) Copies of all records partially 
released or entirely denied, single-sided. For partially released 
records, mark in yellow highlighter (or other readable highlighter) 
those portions withheld; and (Tab F or 6) Legal opinions(s).
    (c) The initial determination of whether to make a record available 
or grant a fee waiver upon request may be made by any suitable official 
designated by the Army Activity in published regulations. The presence 
of the marking ``FOUO'' does not relieve the designated official of the 
responsibility to review the requested record for the purpose of 
determining whether an exemption under this part is applicable and 
should be invoked. IDAs may delegate all or part of their authority to a 
division chief under its supervision within the Agency in the grade of 
05/civilian equivalent. Requests for delegation authority below this 
level must be submitted, after coordination, to the DA FOIA/PA Office, 
with detailed justification, for approval. Such delegations must not 
slow FOIA actions. If an IDA's delegate denies a FOIA or fee waiver 
request, the delegate must clearly state that he or she is acting for 
the IDA and identify the IDA by name and position in the written 
response to the requester. IDAs will send only the names, offices, and 
telephone numbers of their delegates to the DA, FOIA/PA Office. IDAs 
will keep this information current.
    (d) The officials designated by Army Activities to make initial 
determinations should consult with public affairs officers (PAOs) to 
become familiar with subject matters that are considered to be 
newsworthy, and advise PAOs of all requests from news media 
representatives. In addition, the officials should inform PAOs in 
advance when they intend to withhold or partially withhold a record, if 
it appears that the withholding action may be challenged in the media. A 
FOIA release or denial action, appeal, or court review may generate 
public or press interest. In such case, the IDA (or delegate) should 
consult the Chief of Public Affairs or the command or organization PAO. 
The IDA should inform the PAO contacted of the issue and obtain advice 
and recommendations on handling its public affairs aspect. Any advice or 
recommendations requested or obtained should be limited to this aspect. 
Coordination must be completed within the statutory 20 working day FOIA 
response limit. (The point of contact for the Army Chief of Public 
Affairs is HQDA (SAPA-OSR), Washington DC 20310-1500). If the request 
involves actual or potential litigation against the United States, 
release must be coordinated with The Judge Advocate General (TJAG).
    (e) The following officials are designated IDAs for the areas of 
responsibility outlined below:
    (1) The Administrative Assistant to the Secretary of the Army is 
authorized to act for the Secretary of the Army on requests for all 
records maintained by the Office of the Secretary of the Army and its 
serviced activities as well as requests requiring the personal attention 
of the Secretary of the Army. This also includes civilian Equal 
Employment Opportunity (EEO) actions. (See DCS, G-1 for military Equal 
Opportunity (EO) actions). The Administrative Assistant to the Secretary 
of the Army has delegated its authority to the Chief Attorney and Legal 
Services Directorate, U.S. Army Resources & Programs Agency. (See DCS, 
G-1 for military Equal Opportunity (EO) actions).
    (2) The Assistant Secretary of the Army (Financial Management and 
Comptroller) is authorized to act on requests for finance and accounting 
records. Requests for CONUS finance and accounting records should be 
referred to the Defense Finance and Accounting Service (DFAS). The Chief 
Attorney and Legal Services Directorate, acts on requests for non-
finance and accounting records of the Assistant Secretary of the Army 
(Financial Management and Comptroller).

[[Page 166]]

    (3) The Assistant Secretary of the Army (Acquisition, Logistics, & 
Technology) is authorized to act on requests for procurement records 
other than those under the purview of the Chief of Engineers and the 
Commander, U.S. Army Materiel Command. The Chief Attorney and Legal 
Services Directorate, acts on requests for non-procurement records of 
the Assistant Secretary of the Army (Acquisition, Logistics and 
Technology).
    (4) The Deputy Assistant Secretary of the Army (Civilian Personnel 
Policy)/Director of Civilian Personnel, Office of the Assistant 
Secretary of the Army (Manpower and Reserve Affairs) is authorized to 
act on requests for civilian personnel records, personnel administration 
and other civilian personnel matters, except for EEO (civilian) matters 
which will be acted on by the Administrative Assistant to the Secretary 
of the Army. The Deputy Assistant Secretary of the Army (Civilian 
Personnel Policy)/Director of Civilian Personnel has delegated this 
authority to the Chief, Policy and Program Development Division.
    (5) The Chief Information Officer, G-6 is authorized to act on 
requests for records pertaining to Army Information Technology, command, 
control communications and computer systems and the Information 
Resources Management Program (automation, telecommunications, visual 
information, records management, publications and printing).
    (6) The Inspector General is authorized to act on requests for all 
Inspector General Records.
    (7) The Auditor General is authorized to act on requests for records 
relating to audits done by the U.S. Army Audit Agency under AR 10-2. 
This includes requests for related records developed by the Audit 
Agency.
    (8) The Director of the Army Staff is authorized to act on requests 
for all records of the Chief of Staff and its Field Operating Agencies. 
The Director of the Army Staff has delegated its authority to the Chief 
Attorney and Legal Services Directorate, U.S. Army Resources & Programs 
Agency. The Chief Attorney and Legal Services Director, U.S. Army 
Resources & Programs Agency acts on requests for records of the Chief of 
Staff and its Field Operating Agencies. (See TJAG for the (GOMO) 
actions).
    (9) The Deputy Chief of Staff, G-3 is authorized to act on requests 
for records relating to International Affairs policy, planning, 
integration and assessments, strategy formulation, force development, 
individual and unit training policy, strategic and tactical command and 
control systems, nuclear and chemical matters, use of DA forces.
    (10) The Deputy Chief of Staff, G-8 is authorized to act on requests 
for records relating to programming, material integration and externally 
directed reviews.
    (11) The Office of the Deputy Chief of Staff, G-1 is authorized to 
act on the following records: Personnel board actions, Equal Opportunity 
(military) and sexual harassment, health promotions, physical fitness 
and well being, command and leadership policy records, HIV and suicide 
policy, substance abuse programs except for individual treatment records 
which are the responsibility of the Surgeon General, retiree benefits, 
services, and programs, (excluded are individual personnel records of 
retired military personnel, which are the responsibility of the U.S. 
Army Human Resources Command-St. Louis (AHRC-STL), DA dealings with 
Veterans Affairs, U.S. Soldier's and Airmen's Home, retention, 
promotion, and separation; recruiting and MOS policy issues, personnel 
travel and transportation entitlements, military strength and 
statistics, The Army Librarian, demographics, and Manprint.
    (12) The Deputy Chief of Staff, G-4 is authorized to act on requests 
for records relating to DA logistical requirements and determinations, 
policy concerning materiel maintenance and use, equipment standards, and 
logistical readiness.
    (13) The Chief of Engineers is authorized to act on requests for 
records involving civil works, military construction, engineer 
procurement, and ecology; and the records of the U.S. Army Engineer 
divisions, districts, laboratories, and field operating agencies.
    (14) The Surgeon General, Commander, U.S. Army Medical Command,

[[Page 167]]

is authorized to act on requests for medical research and development 
records, and the medical records of active duty military personnel, 
dependents, and persons given physical examination or treatment at DA 
medical facilities, to include alcohol and drug treatment/test records.
    (15) The Chief of Chaplains is authorized to act on requests for 
records involving ecclesiastical relationships, rites performed by DA 
chaplains, and nonprivileged communications relating to clergy and 
active duty chaplains' military personnel files.
    (16) The Judge Advocate General is authorized to act on requests for 
records relating to claims, courts-martial, legal services, 
administrative investigations, and similar legal records. TJAG is also 
authorized to act on requests for the GOMO actions and records described 
elsewhere in this regulation, especially if those records relate to 
litigation in which the United States has an interest. In addition, TJAG 
is authorized to act on requests for records that are not within the 
functional areas of responsibility of any other IDA, including, but not 
limited to requests for records for Commands, and activities.
    (17) The Chief, National Guard Bureau, is authorized to act on 
requests for all personnel and medical records of retired, separated, 
discharged, deceased, and active Army National Guard military personnel, 
including technician personnel, unless such records clearly fall within 
another IDA's responsibility. This authority includes, but is not 
limited to, National Guard organization and training files; plans, 
operations, and readiness files, policy files, historical files, files 
relating to National Guard military support, drug interdiction, and 
civil disturbances; construction, civil works, and ecology records 
dealing with armories, facilities within the States, ranges, etc. Equal 
Opportunity investigative records; aviation program records and 
financial records dealing with personnel, operation and maintenance, and 
equipment budgets.
    (18) The Chief of Army Reserve is authorized to act on requests for 
all personnel and medical records of retired, separated, discharged, 
deceased, and reserve component military personnel, and all U.S. Army 
Reserve (USAR) records, unless such records clearly fall within another 
IDA's responsibility. Records under the responsibility of the Chief of 
Army Reserve include records relating to USAR plans, policies, and 
operations; changes in the organizational status of USAR units; 
mobilization and demobilization policies, active duty tours, and the 
Individual Mobilization Augmentation program.
    (19) The Commander, United States Army Materiel Command (AMC) is 
authorized to act on requests for the records of AMC headquarters and to 
subordinate commands, units, and activities that relate to procurement, 
logistics, research and development, and supply and maintenance 
operations.
    (20) The Provost Marshal General (PMG) is authorized to act on all 
requests for provost marshal activities and law enforcement functions 
for the army, all matters relating to police intelligence, physical 
security, criminal investigations, corrections and internment (to 
include confinement and correctional programs for U.S. prisoners, 
criminal investigations, provost marshal activities, and military police 
support. The PMG is responsible for the Office of Security, Force 
Protection, and Law Enforcement Division and is the functional proponent 
for AR 190-series (Military Police) and 195-series (Criminal 
Investigation), AR 630-10 Absent Without Leave, Desertion, and 
Administration of Personnel Involved in Civilian Court Proceedings, and 
AR 633-30, Military Sentences to Confinement.
    (21) The Commander, U.S. Army Criminal Investigation Command 
(USACIDC), is authorized to act on requests for criminal investigative 
records of USACIDC headquarters, its subordinate activities, and 
military police reports. This includes criminal investigation records, 
investigation-in-progress records, and all military police records and 
reports.
    (22) The Commander, United States Army Human Resources Command 
(USAHRC), is authorized to act on requests for military personnel files 
relating to active duty (other than those

[[Page 168]]

of reserve and retired personnel) military personnel matters, personnel 
locator, physical disability determinations, and other military 
personnel administration records; records relating to military casualty 
and memorialization activities; heraldic activities, voting, records 
relating to identification cards, naturalization and citizenship, 
commercial solicitation, Military Postal Service Agency and Army postal 
and unofficial mail service.
    (23) The Commander, USARC-StL has been delegated authority to act on 
behalf of the USAHRC for requests concerning all personnel and medical 
records of retired, separated, discharged, deceased, and reserve 
component military personnel, unless such records clearly fall within 
another IDA's authority. The authority does not include records relating 
to USAR plans, policies, and operations; changes in the organizational 
status of USAR units, mobilization and demobilization policies; active 
duty tours, and the individual mobilization augmentation program.
    (24) The Assistant Chief of Staff for Installation Management 
(ACSIM) is authorized to act on requests for records relating to 
planning, programming, execution and operation of Army installations. 
This includes base realignment and closure activities, environmental 
activities other than litigation, facilities and housing activities, and 
installation management support activities.
    (25) The Commander, United States Army Intelligence and Security 
Command, is authorized to act on requests for intelligence and security 
records, foreign scientific and technological records, intelligence 
training, intelligence threat assessments, and foreign liaison 
information.
    (26) The Commander, U.S. Army Safety Center, is authorized to act on 
requests for Army safety records.
    (27) The Commander, United States Army Test and Evaluation Command 
(ATEC), is authorized to act on requests for the records of ATEC 
headquarters, its subordinate commands, units, and activities that 
relate to test and evaluation operations.
    (28) The General Counsel, Army and Air Force Exchange Service 
(AAFES), is authorized to act on requests for AAFES records, under AR 
60-20/AFR 147-14.
    (29) Special IDA authority for time-event related records may be 
designated on a case-by-case basis. These will be published in the 
Federal Register. You may contact the DA, FOIA/PA Office to obtain 
current information on special delegations.
    (f) Reasons for not releasing a record. The following are reasons 
for not complying with a request for a record under 5 U.S.C. 552(a)(3).
    (1) No records. A reasonable search of files failed to identify 
responsive records. The records custodian will prepare a detailed no 
records certificate. This certificate must include, at a minimum, what 
areas or offices were searched and how the search was conducted 
(manually, by computer, etc.). The certificate will be signed by the 
records custodian and will include his or her grade and title. The 
original certificate will be forwarded to the IDA. Preprinted ``check-
the-block'' or ``fill-in-the-blank'' no records certificates are not 
authorized.
    (2) Referrals. The request is transferred to another Army Activity 
or DoD Component, or to another Federal Agency.
    (3) Request withdrawn. The request is withdrawn by the requester.
    (4) Fee-related reason. The requester is unwilling to pay fees 
associated with a request; the requester is past due in the payment of 
fees from a previous FOIA request; or the requester disagrees with the 
fee estimate.
    (5) Records not reasonably described. A record has not been 
described with sufficient particularity to enable the Army or DoD 
Component to locate it by conducting a reasonable search.
    (6) Not a proper FOIA request for some other reason. The requester 
has failed unreasonably to comply with procedural requirements, other 
than fee-related, imposed by this part or Army Activity supplementing 
regulations.
    (7) Not an agency record. The information requested is not a record 
within the meaning of the FOIA and this part.
    (8) Duplicate request. The request is a duplicate request (e.g., a 
requester asks for the same information more than once). This includes 
identical requests

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received via different means (e.g., electronic mail, facsimile, mail, 
and courier) at the same or different times.
    (9) Other (specify). Any other reason a requester does not comply 
with published rules other than those outlined in paragraphs (f)(1) 
through (8) of this section.
    (10) Partial or total denial. The record is denied in whole or in 
part in accordance with procedures set forth in the FOIA.
    (g) Denial tests. To deny a requested record that is in the 
possession and control of an Army Activity, it must be determined that 
the record is exempt under one or more of the exemptions of the FOIA. An 
outline of the FOIA's exemptions is contained in subpart C of this part.
    (h) Reasonably segregable portions. Although portions of some 
records may be denied, the remaining reasonably segregable portions must 
be released to the requester when it reasonably can be assumed that a 
skillful and knowledgeable person could not reconstruct the excised 
information. Unless indicating the extent of the deletion would harm an 
interest protected by an exemption, the amount of deleted information 
shall be indicated on the released portion of paper records by use of 
brackets or darkened areas indicating removal of information. In no case 
shall the deleted areas be left ``white'' without the use of brackets to 
show the bounds of deleted information. In the case of electronic 
deletion, or deletion in audiovisual or microfiche records, if 
technically feasible, the amount of redacted information shall be 
indicated at the place in the record such deletion was made, unless 
including the indication would harm an interest protected by the 
exemption under which the deletion is made. This may be done by use of 
brackets, shaded areas, or some other identifiable technique that will 
clearly show the limits of the deleted 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.
    (i) Response to requester. Whenever possible, initial determinations 
to release or deny a record normally shall be made and the decision 
reported to the requester within 20 working days after receipt of a 
proper request by the official designated to respond. When an Army 
Activity has a significant number of pending requests which prevent a 
response determination within the 20 working day period, the requester 
shall be so notified in an interim response, and advised whether their 
request qualifies for the fast track or slow track within the Army 
Activity's multitrack processing system. Requesters who do not meet the 
criteria for fast track processing shall be given the opportunity to 
limit the scope of their request in order to qualify for fast track 
processing.
    (1) When a decision is made to release a record, a copy should be 
made available promptly to the requester once he has complied with 
preliminary procedural requirements.
    (2) When a request for a record is denied in whole or in part, the 
official designated to respond shall inform the requester in writing of 
the name and title or position of the official who made the 
determination, and shall explain to the requester the basis for the 
determination in sufficient detail to permit the requester to make a 
decision concerning appeal. The requester specifically shall be informed 
of the exemptions on which the denial is based, inclusive of a brief 
statement describing what the exemption(s) cover. 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 
a higher final authority within the Army Activity. The IDA will inform 
the requester of his or her right to appeal, in whole or part, the 
denial of the FOIA or fee waiver request and that the appeal must be 
sent through the IDA to the Secretary of the Army (ATTN: OGC).
    (3) The final response to the requester should contain information

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concerning the fee status of the request, consistent with the provisions 
of subpart F, of this part. When a requester is assessed fees for 
processing a request, the requester's fee category shall be specified in 
the response letter. Activities also shall provide the requester with a 
complete cost breakdown (e.g., 115 pages of office reproduction at $0.15 
per page; 5 minutes of computer search time at $43.50 per minute, 3 
hours of professional level search at $44 per hour, etc.) in the 
response letter.
    (4) The explanation of the substantive basis for a denial shall 
include specific citation of the statutory exemption applied under 
provisions of this part; e.g., 5 U.S.C. 552 (b)(1). Merely referring to 
a classification; to a ``FOUO'' marking on the requested record; or to 
this part or an Army Activity's regulation does not constitute a proper 
citation or explanation of the basis for invoking an exemption.
    (5) 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.
    (6) When denying a request for records, in whole or in part, an Army 
Activity shall make a reasonable effort to 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 in 
some other reasonable form of estimation, unless the volume is otherwise 
indicated through deletions on records disclosed in part.
    (7) When denying a request for records in accordance with a statute 
qualifying as a FOIA exemption 3 statute, Army Activities shall, in 
addition to stating the particular statute relied upon to deny the 
information, also state whether a court has upheld the decision to 
withhold the information under the particular statute, and a concise 
description of the scope of the information being withheld.
    (j) Extension of time. In unusual circumstances, when additional 
time is needed to respond to the initial request, the Army Activity 
shall acknowledge the request in writing within 20 working days, 
describe the circumstances requiring the delay, and indicate the 
anticipated date for a substantive response that may not exceed 10 
additional working days, except as provided below:
    (1) With respect to a request for which a written notice has 
extended the time limits by 10 additional working days, and the Activity 
determines that it cannot make a response determination within that 
additional 10 working day period, the requester shall be notified and 
provided an opportunity to limit the scope of the request so that it may 
be processed within the extended time limit, or an opportunity to 
arrange an alternative time frame for processing the request or a 
modified request. Refusal by the requester to reasonably modify the 
request or arrange for an alternative time frame shall be considered a 
factor in determining whether exceptional circumstances exist with 
respect to Army Activity's request backlogs. Exceptional circumstances 
do not include a delay that results from predictable activity backlogs, 
unless the Army Activity demonstrates reasonable progress in reducing 
its backlog.
    (2) Unusual circumstances that may justify delay are: The need to 
search for and collect the requested records from other facilities that 
are separate from the office determined responsible for a release or 
denial decision on the requested information; the need to search for, 
collect, and appropriately examine a voluminous amount of separate and 
distinct records which are requested in a single request; and the need 
for consultation, which shall be conducted with all practicable speed, 
with other agencies having a substantial interest in the determination 
of the request, or among two or more Army Activities or DoD Components 
having a substantial subject-matter interest in the request.
    (3) Army Activities may aggregate certain requests by the same 
requester, or by a group of requesters acting in concert, if the Army 
Activity reasonably believes that such requests actually constitute a 
single request, which would otherwise satisfy the unusual circumstances 
set forth in paragraph (j)(2) of this section, and the requests

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involve clearly related matters. Multiple requests involving unrelated 
matters shall not be aggregated. If the requests are aggregated under 
these conditions, the requester or requesters shall be so notified.
    (4) In 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. Army Activities are reminded that the 
requester still retains the right to treat this delay as a de facto 
denial with full administrative remedies. Only the responsible IDA can 
extend it, and the IDA must first coordinate with the OGC.
    (5) As an alternative to the taking of formal extensions of time the 
negotiation by the cognizant FOIA coordinating office of informal 
extensions in time with requesters is encouraged where appropriate.
    (k) Misdirected requests. Misdirected requests shall be forwarded 
promptly to the Army Activity or other 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 Army Activity that manages the 
records requested.
    (l) Records of non-U.S. Government source. When a request is 
received for a record that falls under exemption 4, that was obtained 
from a non-U.S. Government source, or for a record containing 
information clearly identified as having been provided by a non-U.S. 
Government source, the source of the record or information [also known 
as ``the submitter'' for matters pertaining to proprietary data under 5 
U.S.C. 552, FOIA, Exemption (b)(4)] and E.O. 12600], shall be notified 
promptly of that request and afforded reasonable time (14 calendar days) 
to present any objections concerning the release, unless it is clear 
that there can be no valid basis for objection. This practice is 
required for those FOIA requests for data not deemed clearly exempt from 
disclosure under exemption (b)(4) of 5 U.S.C. 552, The FOIA. 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. Any objections shall be evaluated. The 
final decision to disclose information claimed to be exempt under 
exemption (b)(4) shall be made by an official equivalent in rank to the 
official who would make the decision to withhold that information under 
FOIA. When a substantial issue has been raised, the Army Activity may 
seek additional information from the source of the information and 
afford the source and requester reasonable opportunities to present 
their arguments on the legal and substantive issues involved prior to 
making an agency determination. When the source seeks a restraining 
order or take court action to prevent release of the record or 
information, the requester shall be notified, and action on the request 
normally shall not be taken until after the outcome of that court action 
is known. When the requester brings court action to compel disclosure, 
the submitter shall be promptly notified of this action.
    (1) If the submitted information is a proposal in response to a 
solicitation for a competitive proposal, and the proposal is in the 
possession and control of DA (see 10 U.S.C. 2305(g)), the proposal shall 
not be disclosed, and no submitter notification and subsequent analysis 
is required. The proposal shall be withheld from public disclosure 
pursuant to 10 U.S.C. 2305(g) and exemption (b)(3) of the FOIA. This 
statute does not apply to bids, unsolicited proposals, or any proposal 
that is set forth or incorporated by reference in a contract between an 
Army Activity and the offeror that submitted the proposal. In such 
situations, normal submitter notice shall be conducted except for sealed 
bids that are opened and read to the public. The term, proposal, means 
information contained in or originating from any proposal, including a 
technical, management, or cost

[[Page 172]]

proposal submitted by an offeror in response to solicitation for a 
competitive proposal, but does not include an offeror's name or total 
price or unit prices when set forth in a record other than the proposal 
itself. Submitter notice, and analysis as appropriate, are required for 
exemption (b)(4) matters that are not specifically incorporated in 10 
U.S.C. 2305(g).
    (2) If the record or information was submitted on a strictly 
voluntary basis, absent any exercised authority that prescribes criteria 
for submission, and after consultation with the submitter, it is 
absolutely clear that the record or information would customarily not be 
released to the public, the submitter need not be notified. Examples of 
exercised authorities prescribing criteria for submission are statutes, 
Executive Orders, regulations, invitations for bids, requests for 
proposals, and contracts. Records or information submitted under these 
authorities are not voluntary in nature. When it is not clear whether 
the information was submitted on a voluntary basis, absent any exercised 
authority, and whether it would customarily be released to the public by 
the submitter, notify the submitter and ask that it describe its 
treatment of the information, and render an objective evaluation. If the 
decision is made to release the information over the objection of the 
submitter, notify the submitter and afford the necessary time to allow 
the submitter to seek a restraining order, or take court action to 
prevent release of the record or information.
    (3) The coordination provisions of this section also apply to any 
non-U.S. Government record in the possession and control of the Army or 
DoD from multi-national organizations, such as the North Atlantic Treaty 
Organization (NATO), United Nations Commands, the North American 
Aerospace Defense Command (NORAD), the Inter-American Defense Board, or 
foreign governments. Coordination with foreign governments under the 
provisions of this section may be made through Department of State, or 
the specific foreign embassy.
    (m) File of initial denials. Copies of all initial withholdings or 
denials shall be maintained by each Army Activity in a form suitable for 
rapid retrieval, periodic statistical compilation, and management 
evaluation. Records denied for any of the reasons contained in Sec. 
518.20 shall be maintained for a period of six years to meet the statute 
of limitations requirement. Records will be maintained in accordance 
with AR 25-400-2.
    (n) Special mail services. Army 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. The requester shall be notified that they are 
responsible for the full costs of special services.
    (o) Receipt accounts. The Treasurer of the United States has 
established two accounts for FOIA receipts, and all money orders or 
checks remitting FOIA fees should be made payable to the U.S. Treasurer. 
These accounts shall be used for depositing all FOIA receipts, except 
receipts for industrially funded and non-appropriated funded activities. 
Components are reminded that the below account numbers must be preceded 
by the appropriate disbursing office two digit prefix. Industrially 
funded and non-appropriated funded activity FOIA receipts shall be 
deposited to the applicable fund.
    (1) Receipt Account 3210 Sale of Publications and Reproductions, 
FOIA. This account shall be used when depositing funds received from 
providing existing publications and forms that meet the Receipt Account 
Series description found in Federal Account Symbols and Titles. Deliver 
collections within 30 calendar days to the servicing finance and 
accounting office.
    (2) Receipt Account 3210 Fees and Other Charges for Services, FOIA. 
This account is used to deposit search fees, fees for duplicating and 
reviewing (in the case of commercial requesters) records to satisfy 
requests that could not be filled with existing publications or forms.



Sec. 518.17  Appeals.

    (a) General. If the official designated by the Army Activity to make 
initial determinations on requests for records declines to provide a 
record because

[[Page 173]]

the official considers it exempt under one or more of the exemptions of 
the FOIA, that decision may be appealed by the requester, in writing, to 
a designated appellate authority. The appeal should be accompanied by a 
copy of the letter denying the initial request. Such appeals should 
contain the basis for disagreement with the initial refusal. Appeal 
procedures also apply to the disapproval of a fee category claim by a 
requester, disapproval of a request for waiver or reduction of fees, 
disputes regarding fee estimates, review on an expedited basis a 
determination not to grant expedited access to agency records, for no 
record determinations when the requester considers such responses 
adverse in nature, not providing a response determination to a FOIA 
request within the statutory time limits, or any determination found to 
be adverse in nature by the requester. Upon an IDA's receipt of a no 
records determination appeal, the IDA will direct the records custodian 
to conduct another records search and certify, in writing, that it has 
made a good faith effort that reasonably could be expected to produce 
the information requested. If no records are again found, the original 
no records certificate will be forwarded to the IDA for inclusion in the 
appeals packet. When denials have been made under the provisions of the 
FOIA and the PA, and the denied information is contained in a PA system 
of records, appeals shall be processed under both the FOIA and the PA. 
If the denied information is not maintained in a PA system of records, 
the appeal shall be processed under the FOIA. If a request is merely 
misaddressed, and the receiving Army Activity or DoD Component simply 
advises the requester of such and refers the request to the appropriate 
Army or DoD Component, this shall not be considered a no record 
determination.
    (1) Appeals of adverse determinations from denial of records or ``no 
record'' determination, received by Army IDAs must be forwarded through 
the denying IDA to the Secretary of the Army (ATTN: OGC). On receipt of 
an appeal, the IDA will--
    (i) Send the appeal to the Office of the Secretary of the Army, OGC, 
together with a copy of the documents that are the subject of the 
appeal. The cover letter will list all attachments and describe from 
where the records were obtained, i.e., a PA system of records (including 
the applicable systems notice, or other. If a file does not include 
documentation described below, include the tab, and insert a page marked 
``not applicable'' or ``not used.'' The order and contents of FOIA file 
attachments follow: (Tab A or 1) The original FOIA request and envelope 
(if applicable); (Tab B or 2) The IDA denial letter; (Tab C or 3) Copies 
of all records entirely released, single-sided; (Tab D or 4) Copies of 
administrative processing documents, including extension letters and 
``no records'' certificates, in chronological order; (Tab E or 5) Copies 
of all records partially denied or completely denied, single-sided. For 
records partially denied, mark in yellow highlighter (or other readable 
highlighter) those portions withheld; and (Tab F or 6) Legal 
opinions(s); and
    (ii) Assist the OGC as requested during his or her consideration of 
the appeal.
    (2) Appeals of denial of records made by the OGC, AAFES, shall be 
made to the Secretary of the Army when the Commander, AAFES, is an Army 
officer. Appeals of denial of records made by the OGC, AAFES, shall be 
made to the Secretary of the Air Force when the Commander is an Air 
Force officer.
    (b) Time of receipt. A FOIA appeal has been received by an Army 
Activity when it reaches the office of an appellate authority having 
jurisdiction, the OGC. Misdirected appeals should be referred 
expeditiously to the OGC.
    (c) Time limits. The requester shall be advised to file an appeal so 
that it is postmarked no later than 60 calendar days after the date of 
the initial denial letter. If no appeal is received, or if the appeal is 
postmarked after the conclusion of this 60-day period, the case may be 
considered closed. However, exceptions to the above may be considered on 
a case-by-case basis. In cases where the requester is provided several 
incremental determinations for a single request, the time for the appeal 
shall not begin until the date of the final response. Records that are 
denied shall

[[Page 174]]

be retained for a period of six years to meet the statute of limitations 
requirement. Final determinations on appeals normally shall be made 
within 20 working days after receipt. When an Army Activity has a 
significant number of appeals preventing a response determination within 
20 working days, the appeals shall be processed in a multitrack 
processing system, based at a minimum, on the three processing tracks 
established for initial requests. All of the provisions of the FOIA 
apply also to appeals of initial determinations, to include establishing 
additional processing queues as needed.
    (d) Delay in responding to an appeal. If additional time is needed 
due to the unusual circumstances 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. 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 they may consider their administrative 
remedies exhausted. They may, however, without prejudicing their right 
of judicial remedy, await a substantive response. The Army Activity will 
continue to process the case expeditiously.
    (e) Response to the requester. When the appellate authority (OGC) 
makes a final determination to release all or a portion of records 
withheld by an IDA, a written response and 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. 
Final refusal of an appeal must be made in writing by the appellate 
authority or by a designated representative. The response, at a minimum, 
shall include the following:
    (1) The basis for the refusal shall be explained to the requester in 
writing, both with regard to the applicable statutory exemption or 
exemptions invoked under provisions of the FOIA, and with respect to 
other appeal matters;
    (2) When the final refusal is based in whole or in part on a 
security classification, the explanation shall include a determination 
that the record meets the cited criteria and rationale of the governing 
Executive Order, and that this determination is based on a 
declassification review, with the explanation of how that review 
confirmed the continuing validity of the security classification;
    (3) The final denial shall include the name and title or position of 
the official responsible for the denial;
    (4) In the case of appeals for total denial of records, the response 
shall advise the requester that the information being denied does not 
contain meaningful portions that are reasonably segregable;
    (5) When the denial is based upon an exemption 3 statute, the 
response, in addition to citing the statute relied upon to deny the 
information, shall state whether a court has upheld the decision to 
withhold the information under the statute, and shall contain a concise 
description of the scope of the information withheld; or
    (6) The response shall advise the requester of the right to judicial 
review.
    (f) Consultation. Final refusal involving issues not previously 
resolved or that the Army Activity knows to be inconsistent with rulings 
of other DoD Components ordinarily should not be made before 
consultation with the Army OGC. 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 Army OGC.



Sec. 518.18  Judicial actions.

    (a) This section states current legal and procedural rules for the 
convenience of the reader. The statements of rules do not create rights 
or remedies not otherwise available, nor do they bind the DA or DoD to 
particular judicial interpretations or procedures. A requester may seek 
an order from a U.S. District Court to compel release of a record after 
administrative remedies have been exhausted; i.e., when refused a record 
by the head of a Component or

[[Page 175]]

an appellate designee or when the Army Activity has failed to respond 
within the time limits prescribed by the FOIA and in this part.
    (b) The requester may bring suit in the U.S. District Court in the 
district, in which the requester resides or is the requester's place of 
business, in the district in which the record is located, or in the 
District of Columbia.
    (c) The burden of proof is on the Army Activity to justify its 
refusal to provide a record. The court shall evaluate the case de novo 
(anew) and may elect to examine any requested record in camera (in 
private) to determine whether the denial was justified.
    (d) When an Army Activity has failed to make a determination within 
the statutory time limits but can demonstrate due diligence in 
exceptional circumstances, to include negotiating with the requester to 
modify the scope of their request, the court may retain jurisdiction and 
allow the Activity additional time to complete its review of the 
records.
    (1) If the court determines that the requester's complaint is 
substantially correct, it may require the U. S. to pay reasonable 
attorney fees and other litigation costs.
    (2) When the court orders the release of denied records, it may also 
issue a written finding that the circumstances surrounding the 
withholding raise questions whether Army Activity personnel acted 
arbitrarily and capriciously. In these cases, the special counsel of the 
Merit Systems Protection Board shall conduct an investigation to 
determine whether or not disciplinary action is warranted. The Army 
Activity is obligated to take the action recommended by the special 
counsel.
    (3) The court may punish the responsible official for contempt when 
an Army Activity fails to comply with the court order to produce records 
that it determines have been withheld improperly.
    (e) Non-U. S. Government source information. A requester may bring 
suit in an U.S. District Court to compel the release of records obtained 
from a non-government source or records based on information obtained 
from a non-government source. Such source shall be notified promptly of 
the court action. When the source advises that it is seeking court 
action to prevent release, the Army Activity shall defer answering or 
otherwise pleading to the complainant as long as permitted by the Court 
or until a decision is rendered in the court action of the source, 
whichever is sooner.
    (f) FOIA litigation. Personnel responsible for processing FOIA 
requests at the DoD Component level shall be aware of litigation under 
the FOIA. Such information will provide management insights into the use 
of the nine exemptions by Component personnel. Whenever a complaint 
under the FOIA is filed in an U.S. District Court, the Army Activity 
named in the complaint shall forward a copy of the complaint by any 
means to HQDA, OTJAG (DAJA-LT), with an information copy to the Army 
OGC. In the DA, HQDA OTJAG (DAJA-LT), WASH D.C. 20310-2210 is also 
responsible for forwarding this information to the Office of the Army 
OGC and to the DA FOIA/PA Office.
    (1) Bases for FOIA Lawsuits. In general, there are four categories 
of complaints in a FOIA lawsuit: failure to respond to a request within 
time frames established in the FOIA statute; challenge to the adequacy 
of search for responsive records; challenge to application of a FOIA 
Exemption; and procedural challenges, such as application of waiver of 
fees. The guidance below is intended to cover all categories of 
complaints. In responding to litigation support requests, bear in mind 
the type of complaint that has given rise to the lawsuit and provide 
information, which addresses the specific reason(s) for the complaint.
    (2) Responsibility for FOIA litigation. For the Army, under the 
general oversight of the OGC, FOIA litigation is the responsibility of 
the General Litigation Branch, Army Litigation Division. If you are 
notified of a FOIA lawsuit involving the Army, contact the General 
Litigation Branch immediately at: U.S. Army Litigation Center, General 
Litigation Branch (JALS-LTG), 901 North Stuart Street, Suite 700, 
Arlington, VA 22203-1837. The General Litigation Branch will provide 
guidance on gathering information and assembling a

[[Page 176]]

litigation report necessary to respond to FOIA litigation.
    (3) Litigation reports for FOIA lawsuits. As with any lawsuit, the 
Army Litigation Division and DOJ will require a litigation report. This 
report should be prepared with the assistance, and under the supervision 
of, the legal advisor. For general guidance on litigation reports, see 
Army Regulation 27-40, paragraph 3-9. Unlike the usual 60-day time 
period to respond to complaints under the Federal Rules of Civil 
Procedure, complaints under the FOIA must be answered within 30 days of 
the service of the complaint. Therefore, it is imperative to contact the 
Litigation Division immediately and to begin preparing the litigation 
report without delay.
    (4) Specific guidance for FOIA litigation reports. The following is 
specific guidance for preparing a litigation report in FOIA Litigation. 
The required material should be indexed and assembled under the 
following categories:
    (i) Statement of facts. (Tab A). Provide a chronological statement 
of all facts related to the FOIA request, beginning with receipt of the 
request, responses to the request, and searches for responsive records. 
The statement of facts should refer to supporting enclosed exhibits 
whenever possible.
    (ii) Responses to pleadings. (Tab B). If you have been provided a 
copy of the complaint, provide a line-by-line answer to the factual 
statements in the pleadings, along with recommendations on whether to 
admit or deny the allegation.
    (iii) Memorandum of law. (Tab C). No memorandum of law is necessary 
in FOIA lawsuits. If records were withheld, provide a written statement 
explaining the FOIA Exemption used to withhold the information and the 
rationale for its application in the particular facts of your case. 
Include here a copy of any legal review regarding the withholding of the 
records.
    (iv) Potential witness information. (Tab D). List the names, 
addresses, telephone number, facsimile number and e-mail addresses of 
all potential witnesses. At a minimum, this must include all of the 
following: the FOIA Officer or Coordinator or other person responsible 
for processing FOIA requests; the individual(s) who actually conducted 
the search for responsive records; the legal advisor(s) who reviewed or 
provided advice on the request; and the point of contact at any office 
or agency to which the FOIA request was referred.
    (v) Exhibits. (Tab E). Provide copies of all correspondence 
regarding the FOIA request. This includes all correspondence between the 
agency and the requester, including any enclosures; any referrals or 
forwarding of the request to other agencies or offices; copies of all 
documents released to the requester pursuant to the request in 
litigation. If any information is withheld or redacted, provide a 
complete copy of all withheld information. Identify withheld information 
by placing brackets around all information withheld and note in the 
margins of the document the specific FOIA exemption applied to deny 
release of the document; all records and correspondence forwarded to the 
IDA, if applicable; all appeals by the requester; if the withheld 
document is classified, provide a summary of each document withheld. The 
Summary of classified documents should include the following:
    (A) The classification of the document;
    (B) The date of the document;
    (C) The number of pages of the document;
    (D) The author or creator of the document;
    (E) The intended or actual recipient of the document;
    (F) The subject of the document and an unclassified description of 
the document sufficient to inform the court of the nature of the 
contents of the document; and
    (G) An explanation of the reason for withholding, including the 
specific provision(s) of Executive Order 12,958 which permit 
classification of the information.
    (vi) Draft declarations. (Tab F). A declaration is a statement for 
use in litigation made under penalty of perjury pursuant to specific 
statutory authority (28 U.S.C. 1746) which need not be notarized. 
Declarations may be used by the Army to support a motion to dismiss or 
to grant summary judgment. Depending on the basis for the lawsuit,

[[Page 177]]

with the assistance of their legal advisor, witnesses should prepare a 
draft declaration to be included with the litigation report.
    (vii) The following is some general guidance on the content of a 
declaration in FOIA litigation. Identify the declarant and describe his 
or her qualifications and responsibilities as they relate to the FOIA; 
provide a statement indicating that the declarant is familiar with the 
specific request and the general subject matter of the records; include 
a statement of the searcher's understanding of the exact nature of the 
request, including any modification (narrowing or expanding the search 
based on communications with the requester); generally, the factual 
portion of the declaration should be organized as a chronological 
statement beginning with receipt of the request; provide a specific 
description of the system of records searched; and provide a description 
of procedures used to search for the requested records, (manual search 
of records, computer database search, etc.). This portion of the 
declaration is especially important when no records are found. The 
declaration must reflect an adequate and reasonable search for records 
in locations where responsive records are likely to be found.
    (5) Special guidance for initial denial authorities. If any 
information was withheld, the IDA or person with specific knowledge of 
the withholding must provide a specific statement of any Exemptions to 
the FOIA, which were applied to the records.
    (i) Withheld records. For withheld records, describe in reasonably 
specific detail all records or parts of records withheld. If the number 
of records is extensive, use an index of the records and consider 
numbering the documents to facilitate reference. It is also permissible 
(and frequently helpful) to include redacted portions of records 
withheld as attachments or exhibits to the declarations.
    (ii) Exemptions. Include in the declaration a specific statement 
demonstrating that all the elements of each FOIA exemption are met.
    (iii) Segregation. The FOIA requires that all information not 
subject to an exemption to the FOIA, which can be reasonably segregated 
from exempt information, must be released to FOIA requesters. In any 
instance where an entire document is withheld, the individual 
authorizing the withholding must specifically address that segregation 
and release of non-exempt material was not possible without rendering 
the record essentially meaningless. If applicable, this issue must be 
specifically addressed in the declaration.
    (iv) Sound Legal Basis. Army policy promotes careful consideration 
of FOIA requests and discretionary decisions to disclose information 
protected under the FOIA. Discretionary disclosures should be made only 
after full and deliberate consideration of the institutional, 
commercial, and personal privacy interests that could be implicated by 
disclosure of the information. The decision to withhold records, in 
whole or in part, otherwise exempt from disclosure under the FOIA must 
exhibit a sound legal basis or present an unwarranted risk of adverse 
impact on the ability of other agencies to protect other important 
records.



                         Subpart F_Fee Schedule



Sec. 518.19  General provisions.

    (a) Authorities. The FOIA, as amended; the Paperwork Reduction Act 
(44 U.S.C. 35), as amended; the PA of 1974, as amended; the Budget and 
Accounting Act of 1921 and the Budget and Accounting Procedures Act, as 
amended (see 31 U.S.C.); and 10 U.S.C. 2328).
    (b) Application. The fees described in this Subpart apply to FOIA 
requests, and conform to the Office of Management and Budget Uniform 
Freedom of Information Act Fee Schedule and Guidelines. They reflect 
direct costs for search, review (in the case of commercial requesters), 
and duplication of documents, collection of which is permitted by the 
FOIA. They are neither intended to imply that fees must be charged in 
connection with providing information to the public in the routine 
course of business, nor are they meant as a substitute for any other 
schedule of fees, such as DoD 7000.14-R, which does not supersede the 
collection of fees under the FOIA. Nothing in this subpart shall 
supersede fees chargeable under a statute specifically providing

[[Page 178]]

for setting the level of fees for particular types of records. A 
``statute specifically providing for setting the level of fees for 
particular types of records'' (5 U.S.C. 552 FOIA, (a)(4)(A)(vi)) means 
any statute that enables a Government Agency such as the GPO or the 
NTIS, to set and collect fees. Components should ensure that when 
documents that would be responsive to a request are maintained for 
distribution by agencies operating statutory-based fee schedule programs 
such as GPO or NTIS, they inform requesters of the steps necessary to 
obtain records from those sources.
    (1) The term ``direct costs'' means those expenditures an Activity 
actually makes in searching for, reviewing (in the case of commercial 
requesters), and duplicating documents to respond to a FOIA request. 
Direct costs include, for example, the salary of the employee performing 
the work (the basic rate of pay for the employee plus 16 percent of that 
rate to cover benefits), and the costs of operating duplicating 
machinery. Not included in direct costs are overhead expenses such as 
costs of space, heating or lighting the facility in which the records 
are stored.
    (2) The term ``search'' includes all time spent looking, both 
manually and electronically, for material that is responsive to a 
request. Search also includes a page-by-page or line-by-line 
identification (if necessary) of material in the record to determine if 
it, or portions thereof are responsive to the request. Activities should 
ensure that searches are done in the most efficient and least expensive 
manner so as to minimize costs for both the Activity and the requester. 
For example, Activities should not engage in line-by-line searches, when 
duplicating an entire document known to contain responsive information, 
would prove to be the less expensive and quicker method of complying 
with the request. Time spent reviewing documents in order to determine 
whether to apply one or more of the statutory exemptions is not search 
time, but review time.
    (3) The term ``duplication'' refers to the process of making a copy 
of a document in response to a FOIA request. Such copies can take the 
form of paper copy, microfiche, audiovisual, or machine-readable 
documentation (e.g., magnetic tape or disc), among others. Every effort 
will be made to ensure that the copy provided is in a form that is 
reasonably useable, the requester shall be notified that the copy 
provided is the best available and that the Activity's master copy shall 
be made available for review upon appointment. For duplication of 
computer-stored records, the actual cost, including the operator's time, 
shall be charged. In practice, if an Activity estimates that assessable 
duplication charges are likely to exceed $25.00, it shall notify the 
requester of the estimate, unless the requester has indicated in advance 
his or her willingness to pay fees as high as those anticipated. Such a 
notice shall offer a requester the opportunity to confer with Activity 
personnel with the object of reformulating the request to meet his or 
her needs at a lower cost.
    (4) The term ``review'' refers to the process of examining documents 
located in response to a FOIA request to determine whether one or more 
of the statutory exemptions permit withholding. It also includes 
processing the documents for disclosure, such as excising them for 
release. Review does not include the time spent resolving general legal 
or policy issues regarding the application of exemptions. It should be 
noted that charges for commercial requesters may be assessed only for 
the initial review. Activities may not charge for reviews required at 
the administrative appeal level of an exemption already applied. 
However, records or portions of records withheld in full under an 
exemption, which is subsequently determined not to apply, may be 
reviewed again to determine the applicability of other exemptions not 
previously considered. The costs for such a subsequent review would be 
properly assessable.
    (c) Fee restrictions. No fees may be charged by any Army Activity if 
the costs of routine collection and processing of the fee are likely to 
equal or exceed the amount of the fee. With the exception of requesters 
seeking documents for a commercial use, Activities shall provide the 
first two hours of search time, and the first one hundred

[[Page 179]]

pages of duplication without charge. For example, for a request (other 
than one from a commercial requester) that involved two hours and 
fifteen minutes of search time, and resulted in one hundred and twenty-
five pages of documents, an Activity would determine the cost of only 
ten minutes of search time, and only five pages of reproduction. If this 
processing cost was equal to, or less than the cost to the Activity for 
billing the requester and processing the fee collected, no charges would 
result.
    (1) Requesters receiving the first two hours of search and the first 
one hundred pages of duplication without charge are entitled to such 
only once per request. Consequently, if an Activity, after completing 
its portion of a request, finds it necessary to refer the request to a 
subordinate office, another Army Activity or DoD Component, or another 
Federal Agency for action their portion of the request, the referring 
Activity shall inform the recipient of the referral of the expended 
amount of search time and duplication cost to date.
    (2) The elements to be considered in determining the ``cost of 
collecting a fee'' are the administrative costs to the Activity of 
receiving and recording a remittance, and processing the fee for deposit 
in the Department of Treasury's special account. The cost to the 
Department of Treasury to handle such remittance is negligible and shall 
not be considered in the Activity's determinations.
    (3) For the purposes of these restrictions, the word ``pages'' 
refers to paper copies of a standard size, which will normally be ``8\1/
2\ x 11'' or ``11 x 14''. Thus, requesters would not be entitled to 100 
microfiche or 100 computer disks, for example. A microfiche containing 
the equivalent of 100 pages or 100 pages of computer printout, however, 
might meet the terms of the restriction.
    (4) In the case of computer searches, the first two free hours will 
be determined against the salary scale of the individual operating the 
computer for the purposes of the search. As an example, when the direct 
costs of the computer central processing unit, input-output devices, and 
memory capacity equal $40.00 (two hours of equivalent search at the 
clerical level), amounts of computer costs in excess of that amount are 
chargeable as computer search time. In the event the direct operating 
cost of the hardware configuration cannot be determined, computer search 
shall be based on the salary scale of the operator executing the 
computer search.
    (d) Fee waivers. Documents shall be furnished without charge, or at 
a charge reduced below fees assessed to the categories of requesters 
when the Activity determines that waiver or reduction of the fees is in 
the public interest because furnishing the information is likely to 
contribute significantly to public understanding of the operations or 
activities of DA and is not primarily in the commercial interest of the 
requester.
    (1) When assessable costs for a FOIA request total $15.00 or less, 
fees shall be waived automatically for all requesters, regardless of 
category.
    (2) Decisions to waive or reduce fees that exceed the automatic 
waiver threshold shall be made on a case-by-case basis. Disclosure of 
the information ``is in the public interest because it is likely to 
contribute significantly to public understanding of the operations or 
activities of the Government.''
    (i) Activities should analyze whether the subject matter of the 
request involves issues that will significantly contribute to the public 
understanding of the operations or activities of DA or DoD. Requests for 
records in the possession of the Army or DoD, which were originated by 
non-government organizations and are sought for their intrinsic content, 
rather than informative value, will likely not contribute to public 
understanding of the operations or activities of either DA or DoD. An 
example of such records might be press clippings, magazine articles, or 
records forwarding a particular opinion or concern from a member of the 
public regarding an Army or DoD activity. Similarly, disclosures of 
records of considerable age may or may not bear directly on the current 
activities of either DA or DoD; however, the age of a particular record 
shall not be the sole criteria for denying relative

[[Page 180]]

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

[[Page 181]]

the commercial interest of the request against any public benefit to be 
derived as a result of that disclosure. Where the public interest is 
served above and beyond that of the requester's commercial interest, a 
waiver or reduction of fees would be appropriate. Conversely, even if a 
significant public interest exists, and the relative commercial interest 
of the requester is determined to be greater than the public interest, 
then a waiver or reduction of fees would be inappropriate. As examples, 
news media organizations have a commercial interest as business 
organizations; however, their inherent role of disseminating news to the 
general public can ordinarily be presumed to be of a primary interest. 
Therefore, any commercial interest becomes secondary to the primary 
interest in serving the public. Similarly, scholars writing books or 
engaged in other forms of academic research, may recognize a commercial 
benefit, either directly, or indirectly (through the institution they 
represent); however, normally such pursuits are primarily undertaken for 
educational purposes, and the application of a fee charge would be 
inappropriate. Conversely, data brokers or others who merely compile 
government information for marketing can normally be presumed to have an 
interest primarily of a commercial nature.
    (4) Activities are reminded that the factors and examples used in 
this section are not all inclusive. Each fee decision must be considered 
on a case-by-case basis and upon the merits of the information provided 
in each request. When the element of doubt as to whether to charge or 
waive the fee cannot be clearly resolved, Activities should rule in 
favor of the requester.
    (5) In addition, the following additional circumstances describe 
situations where waiver or reduction of fees are most likely to be 
warranted:
    (i) A record is voluntarily created to prevent an otherwise 
burdensome effort to provide voluminous amounts of available records, 
including additional information not requested; or
    (ii) A previous denial of records is reversed in total, or in part, 
and the assessable costs are not substantial (e.g., $15.00--$30.00).
    (e) Fee assessment. Fees may not be used to discourage requesters, 
and to this end, FOIA fees are limited to standard charges for direct 
document search, review (in the case of commercial requesters) and 
duplication.
    (1) In order to be as responsive as possible to FOIA requests while 
minimizing unwarranted costs to the taxpayer, Activities shall adhere to 
the following procedures:
    (i) Each request must be analyzed to determine the category of the 
requester. If the Activity determination regarding the category of the 
requester is different than that claimed by the requester, the Activity 
should notify the requester to 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 Activity shall render a final category determination, and 
notify the requester of such determination, to include normal 
administrative appeal rights of the determination. The requester should 
be advised that, notwithstanding any appeal, a search for responsive 
records will not be initiated until the requester indicates a 
willingness to pay assessable costs appropriate for the category 
determined by the Activity;
    (ii) Requesters should submit a fee declaration appropriate for the 
below categories. Commercial requesters should indicate a willingness to 
pay all search, review and duplication costs. Educational or 
Noncommercial Scientific Institution or News Media requesters should 
indicate a willingness to pay duplication charges, if applicable, in 
excess of 100 pages if more than 100 pages of records are desired. All 
other requesters should indicate a willingness to pay assessable search 
and duplication costs;
    (iii) 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 Activities, and that an estimate is 
often difficult to obtain prior

[[Page 182]]

to an actual search, requesters who desire estimates are entitled to 
such before committing to a willingness to pay. Should Activities' 
actual costs exceed the 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;
    (iv) No Army Activity may require advance payment of any fee; i.e., 
payment before work is commenced or continued on a request, unless the 
requester has previously failed to pay fees in a timely fashion, or the 
agency has determined that the fee will exceed $250.00. As used in this 
sense, a timely fashion is 30 calendar days from the date of billing 
(the fees have been assessed in writing) by the Activity;
    (v) Where an Activity estimates or determines that allowable charges 
that a requester may be required to pay are likely to exceed $250.00, 
the Activity shall notify the requester of the likely cost and obtain 
satisfactory assurance of full payment where the requester has a history 
of prompt payments, or require an advance payment of an amount up to the 
full estimated charges in the case of requesters with no history of 
payment;
    (vi) Where a requester has previously failed to pay a fee charged in 
a timely fashion (i.e., within 30 calendar days from the date of the 
billing), the Activity may require the requester to pay the full amount 
owed, plus any applicable interest, or demonstrate that he or she has 
paid the fee, and to make an advance payment of the full amount of the 
estimated fee before the Activity begins to process a new or pending 
request from the requester. Interest will be at the rate prescribed in 
31 U.S.C. 3717, and confirmed with respective Finance and Accounting 
Offices;
    (vii) After all work is completed on a request, and the documents 
are ready for release, Activities may request payment before forwarding 
the documents, particularly for those requesters who have no payment 
history, or for those requesters who have failed previously to pay a fee 
in a timely fashion (i.e., within 30 calendar days from the date of the 
billing;
    (viii) The administrative time limits of the FOIA will begin only 
after the Activity has received a willingness to pay fees and 
satisfaction as to category determination, or fee payments (if 
appropriate); and
    (ix) Activities may charge for time spent searching for records, 
even if that search fails to locate records responsive to the request. 
Activities may also charge search and review (in the case of commercial 
requesters) time if records located are determined to be exempt from 
disclosure. In practice, if the Activity estimates that search charges 
are likely to exceed $25.00, it shall notify the requester of the 
estimated amount of fees, unless the requester has indicated in advance 
his or her willingness to pay fees as high as those anticipated. Such a 
notice shall offer the requester the opportunity to confer with Activity 
personnel with the object of reformulating the request to meet his or 
her needs at a lower cost.
    (2) Commercial requesters. Fees shall be limited to reasonable 
standard charges for document search, review and duplication when 
records are requested for commercial use. Requesters must reasonably 
describe the records sought.
    (i) The term ``commercial use'' request refers to a request from, or 
on behalf of one who seeks information for a use or purpose that 
furthers the commercial, trade, or profit interest of the requester or 
the person on whose behalf the request is made. In determining whether a 
requester properly belongs in this category, Activities must determine 
the use to which a requester will put the documents requested. Moreover, 
where an Activity has 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, Activities should seek additional clarification 
before assigning the request to a specific category.
    (ii) When Activities receive a request for documents for commercial 
use, they should assess charges, which recover the full direct costs of 
searching for, reviewing for release, and duplicating the records 
sought. Commercial requesters (unlike other requesters) are not entitled 
to two hours of free search

[[Page 183]]

time, nor 100 free pages of reproduction of documents. Moreover, 
commercial requesters are not normally entitled to a waiver or reduction 
of fees based upon an assertion that disclosure would be in the public 
interest. However, because use is the exclusive determining criteria, it 
is possible to envision a commercial enterprise making a request that is 
not for commercial use. It is also possible that a non-profit 
organization could make a request that is for commercial use. Such 
situations must be addressed on a case-by-case basis.
    (3) Educational institution requesters. Fees shall be limited to 
only reasonable standard charges for document duplication (excluding 
charges for the first 100 pages) when the request is made by an 
educational institution whose purpose is scholarly research. Requesters 
must reasonably describe the records sought. The term ``educational 
institution'' refers to a pre-school, a public or private elementary or 
secondary school, an institution of graduate high 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. Fees shall 
be waived or reduced in the public interest if the criteria above have 
been met.
    (4) Non-commercial scientific institution requesters. Fees shall be 
limited to only reasonable standard charges for document duplication 
(excluding charges for the first 100 pages) when the request is made by 
a non-commercial scientific institution whose purpose is scientific 
research. Requesters must reasonably describe the records sought. The 
term ``non-commercial scientific institution'' refers to an institution 
that is not operated on a ``commercial'' basis and that is operated 
solely for the purpose of conducting scientific research, the results of 
which are not intended to promote any particular product or industry.
    (5) Activities shall provide documents to requesters for the cost of 
duplication alone, excluding charges for the first 100 pages. To be 
eligible for inclusion in these categories, requesters must show that 
the request is being made under the auspices of a qualifying institution 
and that the records are not sought for commercial use, but in 
furtherance of scholarly (from an educational institution) or scientific 
(from a non-commercial scientific institution) research.
    (6) Representatives of the news media. Fees shall be limited to only 
reasonable standard charges for document duplication (excluding charges 
for the first 100 pages) when the request is made by a representative of 
the news media. Requesters must reasonably describe the records sought.
    (i) 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 meant to be all-inclusive. Moreover, as traditional methods of news 
delivery evolve (e.g., electronic dissemination of newspapers through 
telecommunications services), such alternative media would be included 
in this category. In the case of ``freelance'' journalists, they may be 
regarded as working for a news organization if they can demonstrate a 
solid basis for expecting publication through that organization, even 
though not actually employed by it. A publication contract would be the 
clearest proof, but Activities may also look to the past publication 
record of a requester in making this determination.
    (ii) To be eligible for inclusion in this category, a requester must 
meet the criteria in paragraph (e) (6) (i) of this section, and his or 
her request must not be made for commercial use. A request for records 
supporting the news dissemination function of the requester shall not be 
considered to be a request that is for a commercial use. For example, a 
document request by a newspaper

[[Page 184]]

for records relating to the investigation of a defendant in a current 
criminal trial of public interest could be presumed to be a request from 
an entity eligible for inclusion in this category, and entitled to 
records at the cost of reproduction alone (excluding charges for the 
first 100 pages).
    (iii) ``Representative of the news media'' does not include private 
libraries, private repositories of Government records, information 
vendors, data brokers or similar marketers of information whether to 
industries and businesses, or other entities.
    (7) All other requesters. Activities shall charge requesters who do 
not fit into any of the categories, fees which recover the full direct 
cost of searching for and duplicating records, except that the first two 
hours of search time and the first 100 pages of duplication shall be 
furnished without charge. Requesters must reasonably describe the 
records sought. Requests from subjects about themselves will continue to 
be treated under the fee provisions of the Privacy Act of 1974, which 
permit fees only for duplication. Activities are reminded that this 
category of requester may also be eligible for a waiver or reduction of 
fees if disclosure of the information is in the public interest as 
defined in paragraph (6) (ii) in this section.
    (f) Aggregating requests. Except for requests that are for a 
commercial use, an Activity may not charge for the first two hours of 
search time or for the first 100 pages of reproduction. However, a 
requester may not file multiple requests at the same time, each seeking 
portions of a document or documents, solely in order to avoid payment of 
fees. When an Activity reasonably believes that a requester or, on rare 
occasions, a group of requesters acting in concert, is attempting to 
break a request down into a series of requests for the purpose of 
avoiding the assessment of fees, the agency may aggregate any such 
requests and charge accordingly. One element to be considered in 
determining whether a belief would be reasonable is the time period in 
which the requests have occurred. For example, it would be reasonable to 
presume that multiple requests of this type made within a 30-day period 
had been made to avoid fees. For requests made over a longer period, 
however, such a presumption becomes harder to sustain and Activities 
should have a solid basis for determining that aggregation is warranted 
in such cases. Activities are cautioned that before aggregating requests 
from more than one requester, they must have a concrete basis on which 
to conclude that the requesters are acting in concert and are acting 
specifically to avoid payment of fees. In no case may Activities 
aggregate multiple requests on unrelated subjects from one requester.
    (g) Debt Collection Act of 1982 (Pub. L. 97-365). The Debt 
Collection Act provides for a minimum annual rate of interest to be 
charged on overdue debts owed the Federal Government. Activities may 
levy this interest penalty for any fees that remain outstanding 30 
calendar days from the date of billing (the first demand notice) to the 
requester of the amount owed. The interest rate shall be as prescribed 
in 31 U.S.C. 3717. Activities should verify the current interest rate 
with respective Finance and Accounting Offices. After one demand letter 
has been sent, and 30 calendar days have lapsed with no payment, 
Activities may submit the debt to respective Finance and Accounting 
Offices for collection pursuant to the Debt Collection Act.
    (h) Computation of fees. The fee schedule shall be used to compute 
the search, review (in the case of commercial requesters) and 
duplication costs associated with processing a given FOIA request. Costs 
shall be computed on time actually spent. Neither time-based nor dollar-
based minimum charges for search, review and duplication are authorized. 
The appropriate fee category of the requester shall be applied before 
computing fees. DD Form 2086 (Record of Freedom of Information (FOI) 
Processing Cost) will be used to annotate fees for processing FOIA 
information.
    (i) Refunds. In the event that an Activity discovers that it has 
overcharged a requester or a requester has overpaid, the Activity shall 
promptly refund the charge to the requester by reimbursement methods 
that are agreeable to the requester and the Activity.

[[Page 185]]



Sec. 518.20  Collection of fees and fee rates.

    (a) Collection of fees. Collection of fees will be made at the time 
of providing the documents to the requester or recipient when the 
requester specifically states that the costs involved shall be 
acceptable or acceptable up to a specified limit that covers the 
anticipated costs. Collection of fees may not be made in advance unless 
the requester has failed to pay previously assessed fees within 30 
calendar days from the date of the billing by the Activity, or the 
Activity has determined that the fee will be in excess of $250.
    (b) Search time-(1) Costs for manual searches.

------------------------------------------------------------------------
                                                             Hourly rate
                Type                          Grade              ($)
------------------------------------------------------------------------
Clerical...........................  E9/GS 8 and below.....           20
Professional.......................  1-06/GS 9-GS 15.......           44
Executive..........................  07/ST/SL/SES-1 and               75
                                      above.
Contractor.........................  ......................           44
------------------------------------------------------------------------

    (2) Computer search. Fee assessments for computer search consists of 
two parts; individual time (hereafter referred to as human time), and 
machine time.
    (i) Human time. Human time is all the time spent by humans 
performing the necessary tasks to prepare the job for a machine to 
execute the run command. If execution of a run requires monitoring by a 
human, that human time may be also assessed as computer search. The 
terms ``programmer/operator'' shall not be limited to the traditional 
programmers or operators. Rather, the terms shall be interpreted in 
their broadest sense to incorporate any human involved in performing the 
computer job (e.g. technician, administrative support, operator, 
programmer, database administrator, or action officer).
    (ii) Machine time. Machine time involves only direct costs of the 
Central Processing Unit (CPU), input/output devices, and memory capacity 
used in the actual computer configuration. Only this CPU rate shall be 
charged. No other machine related costs shall be charged. In situations 
where the capability does not exist to calculate CPU time, no machine 
costs can be passed on to the requester. When CPU calculations are not 
available, only human time costs shall be assessed to requesters. Should 
Army Activities lease computers, the services charged by the lesser 
shall not be passed to the requester under the FOIA.
    (c) Duplication costs.

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

    (d) Review time costs (in the case of commercial requesters).

------------------------------------------------------------------------
                                                             Hourly rate
                Type                          Grade               ($)
------------------------------------------------------------------------
Clerical...........................  E9/GS 8 and below.....           20
Professional.......................  01-06/GS 9-GS 15......           44
Executive..........................  07/ST/SL/SES-1 and               75
                                      above.
Contractor.........................  ......................           44
------------------------------------------------------------------------

    (e) Audiovisual documentary materials. Search costs are computed as 
for any other record. Duplication cost is the actual direct cost of 
reproducing the material, including the wage of the person doing the 
work. Audiovisual materials provided to a requester need not be in 
reproducible format or quality. Army audiovisual materials are referred 
to as ``visual information.''
    (f) Other records. Direct search and duplication cost for any record 
not described above shall be computed in the manner described for 
audiovisual documentary material.
    (g) Costs for special services. Complying with requests for special 
services is at the discretion of the Activities. Neither the FOIA, nor 
its fee structure cover these kinds of services. Therefore, Activities 
may recover the costs of special services requested by the requester 
after agreement has been obtained in writing from the requester to pay 
for one or more of the following services:
    (1) Certifying that records are true copies; and/or
    (2) Sending records by special methods such as express mail, etc.

[[Page 186]]



Sec. 518.21  Collection of fees and fee rates for technical data.

    (a) Fees for technical data. Technical data, other than technical 
data that discloses critical technology with military or space 
application, if required to be released under the FOIA, shall be 
released after the person requesting such technical data pays all 
reasonable costs attributed to search, duplication and review of the 
records to be released. Technical data, as used in this section, means 
recorded information, regardless of the form or method of the recording 
of a scientific or technical nature (including computer software 
documentation). This term does not include computer software, or data 
incidental to contract administration, such as financial and/or 
management information. Army Activities shall retain the amounts 
received by such a release, and it shall be merged with and available 
for the same purpose and the same time period as the appropriation from 
which the costs were incurred in complying with request. All reasonable 
costs as used in this sense are the full costs to the Federal Government 
of rendering the service, or fair market value of the service, whichever 
is higher. Fair market value shall be determined in accordance with 
commercial rates in the local geographical area. In the absence of a 
known market value, charges shall be based on recovery of full costs to 
the Federal Government. The full costs shall include all direct and 
indirect costs to conduct the search and to duplicate the records 
responsive to the request. This cost is to be differentiated from the 
direct costs allowable for other types of information released under the 
FOIA. DD Form 2086-1 will be used to annotate fees for technical data. 
The form is available through normal publication channels.
    (b) Waiver. Activities shall waive the payment of costs described in 
paragraph (a) of this section, which are greater than the costs that 
would be required for release of this same information if the request is 
made by a citizen of the United States or a United States corporation, 
and such citizen or corporation certifies that the technical data 
requested is required to enable it to submit an offer, or determine 
whether it is capable of submitting an offer to provide the product to 
which the technical data relates to the United States or a contractor 
with the United States. However, Activities may require the citizen or 
corporation to pay a deposit in an amount equal to not more than the 
cost of complying with the request, which will be refunded upon 
submission of an offer by the citizen or corporation;
    (1) The release of technical data is requested in order to comply 
with the terms of an international agreement; or,
    (2) The Activity determines that such a waiver is in the interest of 
the United States.
    (c) Fee rates-(1) Costs for a manual search of technical data.

------------------------------------------------------------------------
                                                             Hourly rate
                Type                          Grade              ($)
------------------------------------------------------------------------
Clerical...........................  E9/GS 8 and below.....        13.25
Minimum Charge.....................  ......................        8.30
------------------------------------------------------------------------
Notes: Professional and Executive (To be established at actual hourly
  rate prior to search. A minimum charge will be established at \1/2\
  hourly rates.

    (2) Computer search is based on the total cost of the cpu, input-
output devices, and memory capacity of the actual computer 
configuration. The wage for the computer operator and/or programmer 
determining how to conduct, and subsequently executing the search will 
be recorded as part of the computer search.
    (d) Duplication costs for technical data.

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

    (e) Review time costs of technical data.

------------------------------------------------------------------------
                                                                  Hourly
                 Type                            Grade             rate
                                                                   ($)
------------------------------------------------------------------------
Clerical.............................  E9/GS 8 and below.......    13.25

[[Page 187]]

 
Minimum Charge                         ........................    8.30
------------------------------------------------------------------------
Notes: Professional and Executive (To be established at actual hourly
  rate prior to search. A minimum charge will be established at \1/2\
  hourly rates.

    (f) Other technical data records. Charges for any additional 
services not specifically consistent with Volume 11A of DoD 7000.14-R, 
shall be made by Activities at the following rates:

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



                            Subpart G_Reports



Sec. 518.22  Reports control.

    (a) General. (1) The Annual FOIA Report is mandated by the statute 
and reported on a fiscal year basis. Due to the magnitude of the 
requested statistics and the need to ensure accuracy of reporting, Army 
Activities shall track this data as requests are processed. This will 
also facilitate a quick and accurate compilation of statistics. Army 
Activities shall forward their report to DA, FOIA/PA Office, no later 
than October 15 following the fiscal year's close. It may be submitted 
electronically and via hard copy accompanied by a computer diskette. In 
turn, DA and DoD will produce a consolidated report for a submission to 
the Attorney General and ensure that a copy of the consolidated report 
is placed on the Internet for public access.
    (2) Existing Army standards and registered data elements are to be 
utilized to the greatest extent possible in accordance with the 
provisions of DoD 8320.1-M, ``Data Administration Procedures.''
    (3) The reporting requirement outlined is assigned Report Control 
Symbol DD-DA&M(A)1365, FOIA Report to Congress.
    (b) Reporting time. Each DA IDA shall prepare statistics and 
accumulate paperwork for the preceding fiscal year on those items 
prescribed for the annual report. The IDAs will follow guidelines below 
and submit the information to the DA, FOIA/PA Office, on or before the 
15th day of each October.
    (1) Each reporting activity will submit the information requested on 
the DD Form 2564, ``Annual Report Freedom of Information Act.'' The form 
is available through normal publication channels.
    (2) Each IDA will submit the information requested on the DD Form 
2564, excluding items 3, 4, and 9c.
    (3) The Judge Advocate General (DAJA) and Chief of Engineers (COE) 
will submit the information requested on the Form DD 2564, item 9c.
    (4) The General Counsel (SAGC) will submit the information requested 
on the DD Form 2564, items 3 and 4.
    (5) The DA, FOIA/PA Office will compile the data submitted in the 
Army's Annual Report. This report will be submitted to the DoD Office 
for Freedom of Information and Security Review on or before the 30th day 
of each November.



Sec. 518.23  Annual report content.

    The current edition of DD Form 2564 shall be used to submit Activity 
input. Instructions for completion follows:
    (a) ITEM 1 Initial Request Determinations. Please note that initial 
PA requests, which are also processed as initial FOIA requests, are 
reported here.
    (1) Total requests processed. Enter the total number of initial FOIA 
requests responded to (completed) during the fiscal year. This should 
include pending cases at the end of the prior fiscal year, Total Actions 
is the sum of Items 1b through 1e, on the DD Form 2564. This total may 
exceed Total Requests Processed.
    (2) Granted in full. Enter the total number of initial FOIA requests 
responded to that were granted in full during the fiscal year. (This may 
include requests granted by your office, yet still requiring action by 
another office).
    (3) Denied in part. Enter the total number of initial FOIA requests 
responded to and denied in part based on one or more of the FOIA 
exemptions. (Do not report ``Other Reason Responses'' as a partial 
denial here, unless a FOIA exemption is also used).

[[Page 188]]

    (4) Denied in full. Enter the total number of initial FOIA requests 
responded to and denied in full based on one or more of the FOIA 
exemptions. (Do not report ``Other Reason Responses'' as denials here, 
unless a FOIA exemption is also used).
    (5) ``Other Reason'' responses. Enter the total number of initial 
FOIA requests in which you were unable to provide all or part of the 
requested information based on an ``Other Reason'' response.
    (6) Total actions. Enter the total number of FOIA actions taken 
during the fiscal year. This number will be the sum of items 1b, through 
1e. Total Actions must be equal to or greater than the number of Total 
Requests Processed.
    (b) ITEM 2 Initial Request Exemptions and Other Reasons. (1) 
Exemptions invoked on initial request determinations. Enter the number 
of times an exemption was claimed for each request that was denied in 
full or in part. Since more than one exemption may be claimed when 
responding to a single request, this number will be equal to or greater 
than the sum of (3) and (4), above. The (b)(7) exemption is reported by 
subcategories (A) through (F): (A) Interfere with Enforcement; (B) Fair 
Trial Right; (C) Invasion of Privacy; (D) Protect Confidential Source; 
(E) Disclose Techniques, and (F) Endanger Life or Safety.
    (2) ``Other Reasons'' cited on initial determinations. Identify the 
``Other Reason'' response cited when responding to a FOIA request and 
enter the number of times each was claimed.
    (i) No records. Enter the number of times a reasonable search of 
files failed to identify records responsive to subject request.
    (ii) Referrals. Enter the number of times a request was referred to 
another DoD Component or Federal Agency for action.
    (iii) Request withdrawn. Enter the number of times a request and/or 
appeal was withdrawn by a requester.
    (iv) Fee-related reason. Requester is unwilling to pay the fees 
associated with a request; the requester is past due in the payment of 
fees from a previous FOIA request; or the requester disagrees with a fee 
estimate.
    (v) Records not reasonably described. Enter the number of times a 
FOIA request could not be acted upon since the record had not been 
described with sufficient particularity to enable the Army Activity to 
locate it by conducting a reasonable search.
    (vi) Not a proper FOIA request for some other reason. Enter the 
number of times the requester has failed unreasonably to comply with 
procedural requirements, other than fee-related imposed by this part or 
an Army Activity's supplementing regulation.
    (vii) Not an agency record. Enter the number of times a requester 
was provided a response indicating the requested information was not a 
record within the meaning of the FOIA and this part.
    (viii) Duplicate request. Record number of duplicate requests closed 
for that reason (e.g., request for the same information by the same 
requester). This includes identical requests received via different 
means (e.g., electronic mail, facsimile, mail, and courier) at the same 
or different times.
    (ix) Other (specify). Any other reason a requester does not comply 
with published rules, other than those reasons outlined in paragraphs 
(b)(2)(i) through (viii) of this section.
    (x) Total. Enter the sum of paragraphs (b)(2)(i) through (ix) of 
this section, in the block provided on the form (total other reasons). 
This number will be equal to or greater than the number in item 1e on 
the report form, since more than one reason may be claimed for each 
``Other Reason'' response.
    (3) (b)(3) Statutes invoked on initial determinations. Identify the 
number of times you have used a specific statute to support each (b)(3) 
exemption. List the statutes used to support each (b)(3) exemption; the 
number of instances in which the statute was cited; note whether or not 
the statute has been upheld in a court hearing; and provide a concise 
description of the material withheld in each individual case by the 
statute's use. Ensure you cite the specific sections of the acts 
invoked. The total number of instances reported will be equal to or 
greater than the total number of (b)(3) exemptions listed in Item 2a on 
the report form.

[[Page 189]]

    (c) ITEM 3 Appeal Determinations. Please note that PA appeals, which 
are also processed as FOIA appeals, are reported here.
    (1) Total appeal responses. Enter the total number of FOIA appeals 
responded to (completed) during the fiscal year.
    (2) Granted in full. Enter the total number of FOIA appeals 
responded to and granted in full during the year.
    (3) Denied in part. Enter the total number of FOIA appeals responded 
to and denied in part based on one or more of the FOIA exemptions. (Do 
not report ``Other Reason Responses'' as a partial denial here, unless a 
FOIA exemption is used also.)
    (4) Denied in full. Enter the total number of FOIA appeals responded 
to and denied in full based on one or more of the FOIA exemptions. (Do 
not report ``Other Reason Responses'' as denials here, unless a FOIA 
exemption is used also).
    (5) ``Other Reason'' responses. Enter the total number of FOIA 
appeals in which you were unable to provide the requested information 
based on an ``Other Reason'' response.
    (6) Total actions. Enter the total number of FOIA appeal actions 
taken during the fiscal year. This number will be the sum of items 3b, 
through 3e, and should be equal to or greater than the number of Total 
Appeal Responses, item 3a on the report form.
    (d) ITEM 4 Appeal Exemptions and Other Reasons-(1) Exemptions 
invoked on appeal determinations. Enter the number of times an exemption 
was claimed for each appeal that was denied in full or in part. Since 
more than one exemption may be claimed when responding to a single 
request, this number will be equal to or greater than the sum of items 
3c, and 3d on the report form. Note that the (b)(7) exemption is 
reported by subcategory (A) through (F): (A) Interfere with Enforcement; 
(B) Fair Trial Right; (C) Invasion of Privacy; (D) Protect Confidential 
Source; (E) Disclose Techniques, and (F) Endanger Life or Safety.
    (2) ``Other Reasons'' cited on appeal determinations. Identify the 
``Other Reason'' response cited when responding to a FOIA appeal and 
enter the number of times each was claimed. This number may be equal to 
or possibly greater than the number in item 3e on the report form, since 
more than one reason may be claimed for each ``Other Reason'' response.
    (3) (b)(3) Statutes invoked on appeal determinations. Identify the 
number of times a specific statute has been used to support each (b)(3) 
exemption identified in item 4a on the report form DD 2564. List the 
statutes used to support each (b)(3) exemption; the number of instances 
in which the statute was cited; note whether or not the statute has been 
upheld in a court hearing; and provide a concise description of the 
material withheld in each individual case by the statute's use. Ensure 
citation to the specific sections of the statute invoked. The total 
number of instances reported will be equal to or greater than the total 
number of (b)(3) exemptions listed in Item 4a on the report form.
    (e) ITEM 5 Number and Median Age of Initial Cases Pending:
    (1) Total initial cases pending:
    (i) Beginning and ending report period: Midnight, 2400 hours, 
September 30, of the Preceding Year--or--0001 hours, October 1, is the 
beginning of the report period. Midnight, 2400 hours, is the close of 
the reporting period.
    (ii) The number for the beginning report period must be the same 
number reported as of the end of the report period from the previous 
report.
    (2) Median age of initial requests pending: Report the median age in 
days (including holidays and weekends) of initial requests pending.
    (3) Examples of median calculation. (i) If given five cases aged 10, 
25, 35, 65, and 100 days from date of receipt as of the previous 
September 30th, the total requests pending is five (5). The median age 
(days) of open requests is the middle, not average value, in this set of 
numbers (10, 25, 35, 65, and 100), 35 (the middle value in the set).
    (ii) If given six pending cases, aged 10, 20, 30, 50, 120, and 200 
days from date of receipt, as of the previous September 30th, the total 
requests pending is six (6). The median age (days) of open requests 40 
days (the mean [average] of the two middle numbers in the set, in this 
case the average of middle values 30 and 50).

[[Page 190]]

    (4) Accuracy of calculations. Activities must ensure the accuracy of 
calculations. As backup, the raw data used to perform calculations 
should be recorded and preserved. This will enable recalculation of 
median [and mean values] as necessary. Activities may require 
subordinate elements to forward raw data, as deemed necessary and 
appropriate.
    (5) Average. If an Activity believes that ``average'' (mean) 
processing time is a better measure of performance, then report 
``averages'' (means) as well as median values (e.g., with data reflected 
and plainly labeled on plain bond as an attachment to the report). 
However, ``average'' (mean) values will not be included in the 
consolidated Army report unless all Activities report it.
    (f) ITEM 6 Number of Initial Requests Received During the Fiscal 
Year. Enter the total number of initial FOIA requests received during 
the reporting period (fiscal year being reported).
    (g) ITEM 7 Types of Requests Processed and Median Age. Information 
is reported for three types of initial requests completed during the 
reporting period: Simple; Complex; and Expedited Processing. The 
following items of information are reported for these requests:
    (1) Total number of initial requests. Enter the total number of 
initial requests processed [completed] during the reporting period 
(fiscal year) by type (Simple, Complex and Expedited Processing) in the 
appropriate row on the form.
    (2) Median age (days). Enter the median number of days [calendar 
days including holidays and weekends] required to process each type of 
case (Simple, Complex and Expedited Processing) during the period in the 
appropriate row on the form.
    (3) Example. Given seven initial requests, multitrack--simple 
completed during the fiscal year, aged 10, 25, 35, 65, 79, 90 and 400 
days when completed. The total number of requests completed was seven 
(7). The median age (days) of completed requests is 65, the middle value 
in the set.
    (h) ITEM 8 Fees Collected From the Public. Enter the total amount of 
fees collected from the public during the fiscal year. This includes 
search, review and reproduction costs only.
    (i) ITEM 9 FOIA Program Costs-(1) Number of full time staff. Enter 
the number of personnel your agency had dedicated to working FOIA full 
time during the fiscal year. This will be expressed in work-years [man-
years]. For example: ``5.1, 3.2, 1.0, 6.5, et al.''

    Table 7-1.--Sample Computation of Work Years for Full Time Staff
------------------------------------------------------------------------
                                Number of
           Employee               months     Work-years        Note
                                  worked
------------------------------------------------------------------------
Smith, Jane..................            6          .50  Hired full time
                                                          at middle of
                                                          fiscal year
Public, John Q...............            4          .34  Dedicated to
                                                          full time FOIA
                                                          processing
                                                          last quarter
                                                          of the fiscal
                                                          year
Brown, Tom...................           12         1.00  Worked FOIA
                                                          full time all
                                                          fiscal year
                              --------------------------
Totals.......................           22         1.84  ...............
------------------------------------------------------------------------

    (2) Number of part time staff. Enter the number of personnel your 
agency had dedicated to working FOIA part time during the fiscal year. 
This will be expressed in work-years [man-years]. For example: ``5.1, 
3.2, 1.0, 6.5, et al.''

        Table 7-2.--Computation of Work Years for Part Time Staff
------------------------------------------------------------------------
                                Number of
           Employee               months     Work-years        Note
                                  worked
------------------------------------------------------------------------
Public, John Q...............          200           .1  Amount of time
                                                          devoted to
                                                          part time FOIA
                                                          processing
                                                          before
                                                          becoming full
                                                          time FOIA
                                                          processor in
                                                          previous
                                                          example
White, Sally.................          400           .2  Processed FOIAs
                                                          part time
                                                          while working
                                                          as paralegal
                                                          in General
                                                          Counsel's
                                                          Office
Peters, Ron..................        1,000           .5  Part time
                                                          employee
                                                          dedicated to
                                                          FOIA
                                                          processing
                              -------------
Totals.......................  1,600/2,000
                                    (hours
                               worked in a
                                     year)
                                equals 0.8
                                work-years
------------------------------------------------------------------------

    (3) Estimated litigation cost. Report your best estimate of 
litigation costs

[[Page 191]]

for the FY. Include all direct and indirect expenses associated with 
FOIA litigation in U.S. District Courts, U.S. Circuit Courts of Appeals, 
and the U.S. Supreme Court.
    (4) Total program cost. Report the total cost of FOIA program 
operation within your agency. Include your litigation costs in this 
total. While you do not have to report detailed cost information as in 
the past, you should be able to explain the techniques by which you 
derived you agency's total cost figures if the need arises.
    (i) Before the close of each fiscal year, the DoD OFOISR will 
dispatch the latest OSD Composite Rate Chart for military personnel to 
DoD Components. This information may be used in computing military 
personnel costs.
    (ii) Army Activities should compute their civilian personnel costs 
using rates from local Office of Personnel Management (OPM) Salary 
Tables and shall add 16% for benefits.
    (iii) Data captured on DD Form 2086, and DD Form 2086-1, shall be 
summarized and used in computing total costs.
    (iv) An overhead rate of 25% shall be added to all calculated costs 
for supervision, space, and administrative support.
    (j) ITEM 10 Authentication. The official that approves the agency's 
report submission to DA will sign and date; enter typed name and duty 
title; and provide both the agency's name and phone number for questions 
about the report. The consolidated Annual FOIA Report will be made 
available to the public in electronic format by DoD.

                   APPENDIX A to Part 518--References

    (a) References.
    (1) AR 1-20 Legislative Liaison;
    (2) AR 20-1 Inspector General Activities and Procedures;
    (3) AR 25-1 The Army Information Management;
    (4) AR 25-11 Record Communications and the Privacy Communications 
System;
    (5) AR 25-400-2 The Army Records Information Management System 
(ARIMS);
    (6) AR 27-20 Claims;
    (7) AR 36-2 Audit Reports and Follow-up;
    (8) AR 40-66 Medical Record Administration and Health Care 
Documentation;
    (9) AR 40-68 Quality Assurance Administration;
    (10) AR 40-400 Patient Administration;
    (11) AR 195-2 Criminal Investigation Activities;
    (12) AR 25-71 The Army Privacy Program;
    (13) AR 360-1 The Army Public Affairs Program;
    (14) AR 380-5 Department of the Army Information Security Program;
    (15) AR 381-10 U.S. Army Intelligence Activities;
    (16) AR 381-12 Subversion and Espionage Directed Against The U.S. 
Army (SAEDA);
    (17) AR 381-20 The Army Counterintelligence Program;
    (18) AR 530-1 Operations Security (OPSEC);
    (19) AR 600-85 Army Substance Abuse Program; and
    (20) AR 608-18 The Army Family Advocacy Program.
    (b) Related publications. A related publication is merely a source 
of additional information. The user does not have to read it to 
understand this part.
    (1) AR 10-5 Headquarters, Department of the Army;
    (2) AR 27-10 Military Justice;
    (3) AR 27-40 Litigation;
    (4) AR 27-60 Intellectual Property;
    (5) AR 60-20 Army and Air Force Exchange Service Operating Policies 
AFR 147-14;
    (6) AR 70-31 Standards for Technical Reporting;
    (7) AR 190-45 Law Enforcement Reporting;
    (8) AR 380-10 Foreign Disclosure and Contacts with Foreign 
Representatives;
    (9) AR 381-45 Investigative Records Repository;
    (10) AR 385-40 Accident Reporting and Records;
    (11) DA Pam 25-30 Consolidated Army Publications and Index Forms;
    (12) DA Pam 25-51 The Army Privacy Program--System of Records 
Notices and Exemption Rules;
    (13) DoD Directive 5100.3 Support of the Headquarters of Combatant 
and Subordinate Joint Commands, November 15, 1999;
    (14) DoD Directive 5230.24 Distribution Statements on Technical 
Documents, March 18, 1987;
    (15) DoD Directive 5230.25 Withholding of Unclassified Technical 
Data From Public Disclosure, November 6, 1984;
    (16) DoD Directive 5230.9 Clearance of DoD Information for Public 
Release, April 9, 1996;
    (17) DoD Directive 5400.4 Provision of Information to Congress, 
January 30, 1978;
    (18) DoD Directive 5400.7 DoD Freedom of Information Act (FOIA) 
Program, September 29, 1997;
    (19) DoD Directive 5400.11 DOD Privacy Program, December 13, 1999;
    (20) DoD Directive 7650.1 Government Accountability Office (GAO) and 
Comptroller General Access to Records, September 11, 1997;

[[Page 192]]

    (21) DoD Directive 7650.2 Government Accountability Office Reviews 
and Reports, July 13, 2000;
    (22) DoD Directive 8910.1 Management and Control of Information 
Requirements, June 11, 1993;
    (23) DoD Federal Acquisition Regulation Supplement (DFARS), Part 227 
Patents, Data, and Copyrights. See also 48 CFR part 227;
    (24) Department of Defense Financial Management Regulation 
(Reimbursable Operations, Policy and Procedures) Volume 11A, April 2003 
authorized by DoD Instruction 7000.14, DoD Financial Management Policy 
and Procedures, November 15, 1992;
    (25) DoD Instruction 5400.10 OSD Implementation of DoD Freedom of 
Information Act Program, January 24, 1991;
    (26) DoD 5200.1-R Information Security Program, January 1997, 
authorized by DoD Directive 5200.1, December 13, 1996, DoD Information 
Security Program;
    (27) DoD 5400.7-R DoD Freedom of Information Act Program, September 
4, 1998;
    (28) DoD 5400.11-R Department of Defense Privacy Program, August 
1983, authorized by DoD Directive 5400.11, December 13, 1999, DoD 
Privacy Program;
    (29) Executive Order 12600 Predisclosure Notification Procedures for 
Confidential Commercial Information, June 23, 1987, 52 FR 23781;
    (30) Public Law 86-36 National Security Information Exemption, 
Codified at 50 U.S.C. 402, as amended;
    (31) Public Law 104-191 Health Insurance Portability and 
Accountability Act of 1996, Codified at 42 U.S.C. 1171-1179, as amended;
    (32) Section 822 of the National Defense Authorization Act for FY 90 
and 91 (Pub. L. 101-189, November 29, 1989: 103 Stat. 1382, 1503);
    (33) 5 U.S.C. 551-559, Administrative Procedures Act;
    (34) 5 U.S.C. 552, as amended: public information; agency rules, 
opinions, orders, records, and proceedings. (FOIA);
    (35) 5 U.S.C. 552a, as amended: records about individuals, (PA of 
1974);
    (36) 10 U.S.C. 128, Physical Protection of Special Nuclear Material: 
Limitation on Dissemination of Unclassified Information;
    (37) 10 U.S.C. 130, Authority to Withhold from Public Disclosure 
Certain Technical Data;
    (38) 10 U.S.C. 130(b), Personnel in Overseas, Sensitive, or 
Routinely Deployable Units: nondisclosure of personally identifying 
information;
    (39) 10 U.S.C. 1102(f), Confidentiality of Medical Quality Assurance 
Records: Qualified Immunity for Participants;
    (40) 10 U.S.C. 2305(g) Prohibition on Release of Contractor 
Proposals;
    (41) 10 U.S.C. 2320-2321, Rights in Technical Data;
    (42) 10 U.S.C. 2328, Release of Technical Data under Freedom of 
Information Act: Recovery of Costs;
    (43) 17 U.S.C. 106, Exclusive Rights in Copyrighted Works;
    (44) 18 U.S.C. 798, Disclosure of Classified Information;
    (45) 18 U.S.C. 3500, The Demands for Production of Statements and 
Reports of Witnesses (The Jencks Act);
    (46) 31 U.S.C. 3717, Interest and Penalty on Claims;
    (47) 32 CFR part 518, The Army FOIA Program;
    (48) 35 U.S.C. 181-188, Secrecy of Certain Inventions and Filing of 
Application in Foreign Country;
    (49) 41 U.S.C. 423, Restrictions on Disclosing and Obtaining 
Contractor Bid or Proposal Information or Source Selection Information;
    (50) 42 U.S.C. 2162, Classification and Declassification of 
Restricted Data;
    (51) 44 U.S.C. 3301-3324, Disposal of Records;
    (52) 45 CFR part 164, Security and Privacy of Individually 
Identifiable Health Information; and
    (53) 50 U.S.C. 403-3, War and National Defense, Protection of 
Intelligence Sources and Methods.

            APPENDIX B to Part 518--Addressing FOIA Requests

    (a) General. Army records may be requested from those Army officials 
who are listed in 32 CFR part 518 (see appendix A). Contact the DA FOIA/
PA Office, to coordinate the referral of requests if there is 
uncertainty as to which Army activity may have the records. Send 
requests to particular installations or organizations as follows:
    (1) Current publications and records of DA field commands, 
installations, and organizations. See also: http://books.army.mil/.
    (2) Send the request to the commander of the command, installation, 
or organization, to the attention of the FOIA Official.
    (3) Consult AR 25-400-2 (ARIMS) for more detailed listings of all 
record categories kept in DA offices.
    (4) Contact the installation or organization public affairs officer 
for help if you cannot determine the official within a specific 
organization to whom your request should be addressed.
    (b) Department of the Army publications. Send requests for current 
administrative, training, technical, and supply publications to the 
National Technical Information Service, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161. NTIS handles general public 
requests for unclassified, uncopyrighted, and nondistribution-restricted 
Army publications not sold through the Superintendent of Documents.

[[Page 193]]

    (c) Military personnel records. Send requests for military personnel 
records of information as follows:
    (1) Army Reserve personnel not on active duty and retired 
personnel--Commander, U.S. Army Human Resources Command, St. Louis, 1 
Reserve Way, St. Louis, MO 63132-5200.
    (2) Army officer personnel discharged or deceased after July 1, 1917 
and Army enlisted personnel discharged or deceased after November 1, 
1912--Director, National Personnel Records Center, 9700 Page Ave., St. 
Louis, MO 63132-5100.
    (3) Army personnel separated before the dates specified in paragraph 
(2), above--Old Military and Civilian Records Unit (Archives 1), 
National Archives and Records Administration, Washington, DC 20408-0001.
    (4) Army National Guard officer personnel--Chief, National Guard 
Bureau. Army National Guard enlisted personnel--Adjutant General of the 
proper State.
    (5) Active duty commissioned and warrant officer personnel--
Commander, U.S. Army Human Resources Command, ATTN: AHRC-FOI, 
Alexandria, VA 22332-0404. Active duty enlisted personnel--Commander, 
U.S. Army Enlisted Records and Evaluation Center, ATTN: PCRE-RP, 8899 
East 56th Street, Indianapolis, IN 46249-5301.
    (d) Medical records.
    (1) Medical records of non-active duty military personnel. Use the 
same addresses as for military personnel records.
    (2) Medical records of military personnel on active duty. Address 
the medical treatment facility where the records are kept. If necessary 
request locator service.
    (3) Medical records of civilian employees and all dependents. 
Address the medical treatment facility where the records are kept. If 
the records have been retired, send requests to the Director, National 
Personnel Records Center, Civilian Records Facility, 111 Winnebago St., 
St. Louis, MO 63118-4199.
    (e) Legal records.
    (1) Records of general courts-martial and special courts-martial in 
which bad conduct discharge was approved. For cases not yet forwarded 
for appellate review, apply to the staff judge advocate of the command 
having jurisdiction over the case. For cases forwarded for appellate 
review and for old cases, apply to the U.S. Army Legal Services Agency, 
ATTN: JALS-CCO, 901 North Stuart Street, Arlington, VA 22203.
    (2) Records of special courts-martial not involving a bad conduct 
discharge. These records are kept for 10 years after completion of the 
case. If the case was completed within the past three years, apply to 
the staff judge advocate of the headquarters where it was reviewed. If 
the case was completed from 3 to 10 years ago, apply to the National 
Personnel Records Center (Military Records), 9700 Page Ave., St. Louis, 
MO 63132-5100. If the case was completed more than 10 years ago, the 
only evidence of conviction is the special courts-martial order in the 
person's permanent records.
    (3) Records of summary courts-martial. Locally maintained records 
are retired 3 years after action of the supervisory authority. Request 
records of cases less than 3 years old from the staff judge advocate of 
the headquarters where the case was reviewed. After 10 years, the only 
evidence of conviction is the summary courts-martial order in the 
person's permanent records.
    (4) Requests submitted under paragraphs (e) (2) and (3), of this 
appendix. These requests will be processed in accordance with subpart E 
of this part. The IDA is The Judge Advocate General, HQDA (DAJA-CL), 
Washington, DC 20310-2200.
    (5) Administrative settlement of claims. Apply to the Chief, U.S. 
Army Claims Service, ATTN: JACS-TC, Building 4411, Llewellyn Avenue, 
Fort George G. Meade, MD 20755-5360.
    (6) Records involving debarred or suspended contractors. Apply to 
U.S. Army Legal Services Agency (JALS-PF), 901 North Stewart Street, 
Arlington, VA 22203.
    (7) Records of all other legal matters (other than records kept by a 
command, installation, or organization staff judge advocate). Apply to 
HQDA (DAJA-AL), Washington, DC 20310-2200.
    (f) Civil works program records. Civil works records include those 
relating to construction, operation, and maintenance for the improvement 
of rivers, harbors, and waterways for navigation, flood control, and 
related purposes, including shore protection work by the Army. Apply to 
the proper division or district office of the Corps of Engineers. If 
necessary to determine the proper office, contact the Commander, U.S. 
Army Corps of Engineers, 20 Massachusetts Avenue, ATTN: CECC-K, 
Washington, DC 20314-1000.
    (g) Civilian personnel records. Send requests for personnel records 
of current civilian employees to the employing installation. Send 
requests for personnel records of former civilian employees to the 
Director, National Personnel Records Center, Civilian Records Facility, 
111 Winnebago St., St. Louis, MO 63118-4199.
    (h) Procurement records. Send requests for information about 
procurement activities to the contracting officer concerned or, if not 
feasible, to the procuring activity. If the contracting officer or 
procuring activity is not known, send inquiries as follows:
    (1) Army Materiel Command procurement: Commander, U.S. Army Materiel 
Command, ATTN: AMCID-F, 5001 Eisenhower Ave., Alexandria, VA 22333-0001.
    (2) Corps of Engineers procurement: Commander, U.S. Army Corps of 
Engineers, 20 Massachusetts Avenue, ATTN: CECC-K, Washington, DC 20314-
1000.

[[Page 194]]

    (3) All other procurement: HQDA (DAJA-KL), 2200 Army Pentagon, 
Washington, DC 20310-2200.
    (i) Criminal investigation files. Send requests involving criminal 
investigation files to the Commander, U.S. Army Criminal Investigation 
Command, ATTN: CICR-FP, 6010 6th St., Bldg. 1465, Ft. Belvoir, 
VA 22060-5585. Only the Commanding General, USACIDC, can release any 
USACIDC-originated criminal investigation file.
    (j) Personnel security investigation files and general Army 
intelligence records. Send requests for personnel security investigation 
files, intelligence investigation and security records, and records of 
other Army intelligence matters to the Commander, U.S. Army Intelligence 
and Security Command, ATTN: IAMG-CIC-FOI/PO, 4552 Pike Road, Fort George 
G. Meade, MD 20755-5995.
    (k) Inspector General records. Send requests involving records 
within the Inspector General system to HQDA (SAIG-ZXL), 1700 Army 
Pentagon, Washington, DC 20310-1700. AR 20-1 governs such records.
    (l) Army records in Government records depositories. Non-current 
Army records are in the National Archives of the United States, 
Washington, DC 20408-0001; in Federal Records Centers of NARA; and in 
other records depositories. Requesters must write directly to the heads 
of these depositories for copies of such records. A list of pertinent 
records depositories is published in AR 25-400-2, table 10-1.



PART 519_PUBLICATION OF RULES AFFECTING THE PUBLIC--Table of Contents




                            Subpart A_General

Sec.
519.1 Purpose.
519.2 Explanation of terms.
519.3 Responsibilities.
519.4 Designation of Rulemaking Coordinators.
519.5 Statement of compliance.
519.6 Submission of publications for printing.
519.7 Regulatory review.

      Subpart B_Information To Be Published in the Federal Register

519.8 General.
519.9 Information to be published.
519.10 Requirements pertaining to the information to be published.
519.11 Incorporation by reference.
519.12 Exceptions.
519.13 Procedures.
519.14 Effect of not publishing.

    Subpart C_Inviting Public Comment on Certain Proposed Rules and 
                         Submission of Petitions

519.15 General.
519.16 Applicability.
519.17 Procedures when proposing rules.
519.18 OMB Control Number.
519.19 Consideration of public comment.
519.20 Procedures when publishing adopted rules.
519.21 Submission of petitions.
519.22 Cases in which public comment is impractical.

    Authority: Sec. 3012, Pub. L. 84-1028, 70A Stat. 157, (10 U.S.C. 
3013); sec. 3, Pub. L. 79-404, 60 Stat. 238, (5 U.S.C. 552).

    Source: 69 FR 47766, Aug. 6, 2004, unless otherwise noted.



                            Subpart A_General



Sec. 519.1  Purpose.

    This part prescribes procedures and responsibilities for publishing 
certain Department of the Army policies, practices and procedures in the 
Federal Register as required by statute, and for inviting public comment 
thereon, as appropriate. This regulation implements portions of the 
Administrative Procedure Act (APA), 5 U.S.C. 551; Freedom of Information 
Act (FOIA), 5 U.S.C. 552(a)(1), as implemented by 32 CFR Part 336; 
Regulatory Flexibility Act (5 U.S.C. 601, et seq.), as implemented by 1 
CFR Chapter 1; Congressional Review Act (CRA), 5 U.S.C. Chapter 8; 
Executive Order 12866 of September 30, 1993; and DODD 5025.1, DOD 
Directives System.

[69 FR 47766, Aug. 6, 2004; 69 FR 51569, Aug. 20, 2004]



Sec. 519.2  Explanation of terms.

    (a) Rule. The whole or a part of any Department of the Army 
Statement (regulation, circular, directive, or other media) of general 
or particular applicability and future effect, which is designed to 
implement, interpret, or prescribe law or policy or which describes the 
organization, procedure, or practice of the Army.
    (b) Federal Register. A document published daily, Monday through 
Friday (except holidays), by the Office of the Federal Register, to 
inform the

[[Page 195]]

public about the regulations of the executive branch and independent 
administrative agencies of the U.S. Government. The Federal Register 
includes Presidential proclamations, Executive orders, Federal agency 
documents having general applicability and legal effect or affecting the 
public, and documents required to be published by Act of Congress.
    (c) Code of Federal Regulations. The annual codification of rules 
published by each Federal Agency. It is divided into 50 titles 
representing broad subject areas for each Federal Agency and these 
titles are further subdivided into Chapters, Subchapters, Parts, and 
Subparts. Army documents are published in Title 32, National Defense, 
Title 33, Navigation and Navigable Waters, and Title 36, Parks, Forests, 
and Public Property. (The Federal Register and the Code of Federal 
Regulations must be used together to determine the latest version of any 
given rule.)
    (d) Closed meeting. A meeting that is closed to the public.
    (e) Open meeting. A meeting that is open to the public.



Sec. 519.3  Responsibilities.

    (a) The Administrative Assistant to the Secretary of the Army (AASA) 
acts as the regulatory officer and has oversight of the Army Federal 
Regulatory Program and Unified Agenda. The AASA coordinates with 
Assistant Secretary of the Army (Civil Works) (ASA (CW)) and the Deputy 
Chief of Staff, G-1 (DCS, G-1) to ensure the regulatory requirements and 
functions are properly executed.
    (b) The ASA (CW) submits the annual Regulatory Plan and semiannual 
Unified Agenda of Federal Regulatory and Deregulatory Actions to the 
AASA as required by Executive Order 12866 and 5 U.S.C. 601, et seq.
    (c) The DCS, G-1 develops policy and direction for the Rulemaking 
Program for the Department of the Army.
    (d) The U.S. Army Records Management and Declassification Agency 
(RMDA) is responsible for policies concerning Department of the Army 
announcements and rules (proposed, interim, and final) published in the 
Federal Register, and for ensuring Army compliance with this part. The 
RMDA will--
    (1) Assist the officials listed in Table 1 of this section in the 
performance of their responsibilities.
    (2) Represent the Army in submitting to the Office of the Federal 
Register (OFR) any matter published per this part.
    (3) Submit the annual Regulatory Plan and semiannual Unified Agenda 
of Federal Regulatory and Deregulatory Actions to the AASA as required 
by Executive Order 12866 and 5 U.S.C. 601, et seq.
    (4) Submit a copy of published final rules (and certain analyses 
related to the rule, as appropriate) to both Houses of Congress and to 
the General Accounting Office (GAO), per the CRA.
    (e) The U.S. Army Corps of Engineers (USACE) will--
    (1) Represent the Army in submitting to the OFR only those Civil 
Works Program rules (proposed, interim, and final) codified in Title 33, 
Navigation and Navigable Waters, and Title 36, Parks, Forests, and 
Public Property of the CFR, subject to the terms of this part.
    (2) Submit a copy of published final rules (and certain analyses 
related to the rule, as appropriate) to both Houses of Congress and to 
the General Accounting Office (GAO), per the CRA.
    (3) When submitting rules codified in Titles 33 and 36 of the CFR, 
USACE may coordinate directly with OFR (in lieu of RMDA) but must 
otherwise comply with the provisions of this part. In determining the 
applicability of this regulation to its rulemaking activities, Army 
Civil Works rulemaking proponents may replace ``RMDA'' with ``USACE,'' 
wherever it appears in the text of this part.
    (f) The officials listed in Table 1 of this section (hereinafter 
referred to as proponents) are responsible for:
    (1) Ensuring maximum practicable participation of the public in the 
formulation of Army rules that affect the public by allowing public 
comments in proposed rules. Where deemed appropriate by the Army 
proponents, the public should participate in consensual mechanisms, such 
as negotiated rulemaking.

[[Page 196]]

    (2) Determining which matters within their areas of jurisdiction 
must be published in accordance with Sec. Sec. 519.8 through 519.14, 
and for submission actions specified in Sec. Sec. 519.15 through 
519.22.
    (g) Legal officers and staff judge advocates supporting the 
proponents will provide legal advice and assistance in connection with 
proponent responsibilities contained herein.

                     Table 1--Rulemaking Proponents
------------------------------------------------------------------------
                Official                       Area of jurisdiction
------------------------------------------------------------------------
Administrative Assistant to the          Immediate Office of the
 Secretary of the Army.                   Secretary of the Army and the
                                          Office of the Administrative
                                          Assistant.
Director of the Army staff.............  Elements, Office of the Chief,
                                          U.S. Army.
Head of each Army staff agency.........  Headquarters of the agency and
                                          its field operating and staff
                                          agencies (including the
                                          Installation Management Agency
                                          (IMA)).
Commander, MACOM.......................  Headquarters of MACOM and all
                                          subordinate activities and
                                          units.
RMDA...................................  All other Army elements not
                                          covered above.
------------------------------------------------------------------------



Sec. 519.4  Designation of Rulemaking Coordinators.

    The officials listed in Table 1 of Sec. 519.3 will designate 
Rulemaking Coordinators to perform the duties prescribed by Sec. Sec. 
519.15 through 519.22 of this part for their areas of functional 
responsibility. At the time of designation, RMDA (AHRC-PDD-RP) will be 
informed of the name and telephone number of the designated individual. 
The designee will perform the following duties:
    (a) Ensure that all rules and notices to be published comply with 
the Federal Register format.
    (b) Transmit material to RMDA (AHRC-PDD-RP) and provide RMDA with 
the name, office symbol, and telephone number of the action officer for 
each rule or general notice for inclusion in the Federal Register.
    (c) Coordinate with Publication Control Officers to ensure 
submission of Statements of Compliance required by Sec. 519.5.
    (d) Notify RMDA (AHRC-PDD-RP), 7701 Telegraph Road, Alexandria, VA 
22315-3860, when a regulation published in the Federal Register becomes 
obsolete or is superseded by another regulation.



Sec. 519.5  Statement of compliance.

    In order to ensure compliance with this part, no rule will be issued 
unless there is on file with RMDA (AHRC-PDD-RP) a statement to the 
effect that it has been evaluated under the provisions of this part. If 
the proponent determines that the provisions of this part are 
inapplicable, such determination will be explained in the statement.



Sec. 519.6  Submission of publications for printing.

    When Army-wide publications or directives are transmitted to the 
Director, U.S. Army Publishing Directorate (USAPD) for publication, the 
DA Form 260 (Request for Printing of Publication) or other transmittal 
paper will contain a statement that the directive has been processed for 
publication in the Federal Register or that it falls within the exempted 
category. USAPD will not publish any rule unless this statement is on DA 
Form 260. A copy of DA Form 260 may be submitted to RMDA (AHRC-PDD-RP) 
in lieu of the statement required by Sec. 519.5.



Sec. 519.7  Regulatory review.

    (a) Proponents of Army regulations will participate in the 
regulatory process and adhere to the regulatory process as prescribed in 
this regulation when reviewing their existing publications. This review 
will follow the same procedural steps outlined for the development of 
new regulations.
    (b) In selecting regulations to be reviewed, proponents will 
consider such criteria as:
    (1) The requirement for the regulation.
    (2) Costs and benefits of the regulation to include both 
quantifiable measures (to the fullest extent that these

[[Page 197]]

can be usefully estimated) and qualitative measures.
    (3) The type and number of complaints or suggestions received.
    (4) Burdens imposed directly or indirectly by the regulation to both 
the public and other government entities.
    (5) Elimination of inconsistent, incompatible, overlapping or 
duplicative regulations.
    (6) Length of time since the regulation has been reviewed for 
scientific, technological, economical, or administrative changes.



      Subpart B_Information To Be Published in the Federal Register



Sec. 519.8  General.

    The Administrative Procedure Act, as amended by the Freedom of 
Information Act, requires that certain policies, practices, procedures, 
and other information concerning the Department of the Army be published 
in the Federal Register for the guidance of the public. In addition, 
various statutory and nonstatutory authorities, as applicable, may 
require certain actions and studies be performed in conjunction with the 
publication of the regulation. In general, this information explains 
where, how, and by what authority the Army performs any of its functions 
that affect the public. This subpart describes what information must be 
published and the effect of failing to publish it.



Sec. 519.9  Information to be published.

    In deciding which information to publish, consideration must be 
given to the fundamental objective of informing all interested persons 
of how to deal effectively with the Department of the Army. Subject to 
the exceptions provided in Sec. 519.12, information to be currently 
published will include:
    (a) Descriptions of the Army's central and field organization and 
the established places at which, the officers from whom, and the methods 
whereby, the public can obtain information, make submittals or requests, 
or obtain decisions.
    (b) The procedures by which the Army conducts its business with the 
public, both formally and informally.
    (c) Rules of procedures, descriptions of forms available or the 
places at which forms can be obtained, and the instructions as to the 
scope and contents of all papers, reports, or examinations.
    (d) Substantive rules of applicability to the public adopted as 
authorized by law, and statements of general policy or interpretations 
of general applicability formulated and adopted by the Army.
    (e) Documents that confer a right or privilege on a segment of the 
public or have a direct or substantial impact on the public or any 
significant portion of the public.
    (f) Documents that prescribe a course of conduct that must be 
followed by persons outside the government to avoid a penalty, or secure 
a right or privilege.
    (g) Documents that impose an obligation on the general public or 
members of a class persons outside the U.S. Government.
    (h) Rules (significant) that may:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way, the economy; productivity; 
competition; jobs; the environment; public health or safety; or State, 
local, tribal governments or communities.
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken by another agency.
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, loan programs or the rights and obligations thereof.
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles of Executive 
Order 12866.
    (i) Open, partially-closed, and closed meetings that require members 
to take action on behalf of the Army where such deliberations determine 
or result in the joint conduct or disposition of Army business. Meetings 
will be published a minimum of 15 calendar days prior to date of meeting 
or as prescribed by the appropriate statute. Sunshine Act meetings are 
published in compliance with 5 U.S.C. 552b(e)(3); attendance at these 
meetings may be restricted for reasons of national security or for 
reasons indicated in 5 U.S.C.

[[Page 198]]

552b(c). Notice of Sunshine Act meetings must be published at least one 
week prior to the date of the meeting (5 U.S.C. 552b(e)).
    (j) Notices of establishment or renewal of advisory committees in 
accordance with their directives, statutory and/or nonstatutory 
authority.
    (k) Public information collection requirements in compliance with 
the Paperwork Reduction Act (PRA, 44 U.S.C. 3501 et seq.)
    (l) Descriptions of particular programs, policy, or procedures in 
detail such as--
    (1) Decisions and ruling;
    (2) Grant application deadlines;
    (3) Availability of Environmental Impact Statements;
    (4) Delegations of authority;
    (5) Issuance or revocation of licenses; and
    (6) Hearings and investigations.
    (m) Each amendment, revision, or repeal of the foregoing.



Sec. 519.10  Requirements pertaining to the information to be published.

    The following procedures will be completed before submitting rules/
regulations for publication--
    (a) An economic analysis (EA) of the proposed or existing 
regulation. The EA should assess the effects of the regulation on the 
State, local, and tribal governments, and the private sector. An EA 
threshold of an annual effect on the economy of $100 million or more has 
been established for all regulations (Executive Order 12866.)
    (b) Regulations containing collection of information requirements 
will be forwarded through the DCS, G-1 (DAPE-ZXI-RM) to OMB prior to 
publication as a proposed rule in the Federal Register. In addition, the 
proponent will address any collection of information comments filed by 
the Director, OMB, or the public in the final rule.
    (c) Statutory and nonstatutory authorities mandate regulatory review 
of all Department of the Army proposed, interim, final, and withdrawn 
rules/regulations. The results are published in the semiannual Unified 
Agenda of Federal Regulatory and Deregulatory Actions. Under the 
requirements of regulatory review, the proponent will notify RMDA (AHRC-
PDD-RP) when--
    (1) Drafting a regulation that would affect the public.
    (2) Reviewing regulations for revision or rescission.
    (3) Rescinding a regulation.



Sec. 519.11  Incorporation by reference.

    (a) Incorporation by reference allows the proponent to comply with 
the requirements to publish regulations in the Federal Register by 
referencing materials published elsewhere (e.g., materials that may be 
purchased from the Government Printing Office (GPO) or depository 
libraries or are available for review at Army installations). 
Incorporated material has the same force and legal effect as any other 
properly issued regulation. Before a document can be incorporated by 
reference, the proponent must determine that it is available to the 
public (see 5 U.S.C. 552(a) and 1 CFR Part 51).
    (b) Material is eligible for incorporation by reference if it--
    (1) Is published data, criteria, standards, specifications, 
techniques, illustrations or similar materials.
    (2) Is reasonably available to and usable by the class of persons 
affected by the publication.
    (3) Does not reduce the usefulness of the Federal Register 
publication system.
    (4) Benefits the Federal Government and members of affected classes.
    (5) Substantially reduces the volume of material published in the 
Federal Register.
    (c) Incorporation by reference is not acceptable as a complete 
substitute for promulgating in full the material required to be 
published. It can, however, be utilized to avoid unnecessary repetition 
of published information already reasonably available to the class of 
persons affected. Examples include:
    (1) Construction standards issued by a professional association of 
architects, engineers, or builders;
    (2) Codes of ethics issued by professional organizations; and,
    (3) Forms and formats publicly or privately published and readily 
available to the person required to use them.

[[Page 199]]

    (d) Proposals for incorporation by reference will be submitted to 
RMDA (AHRC-PDD-RP) (by letter) giving an identification and subject 
description of the document statement of availability, indicating the 
document will be reasonably available to the class of persons affected, 
where and how copies may be purchased or examined, and justification for 
the requirement to incorporate by reference. The request will be 
submitted to RMDA (AHRC-PDD-RP) at least 25 working days before the 
proposed date for submission of the incorporation by reference notice 
for the Federal Register. The 25-working day period begins when RMDA 
receives the request.
    (e) RMDA will consult with the Director, OFR concerning each 
specific request and will notify the proponent of the outcome of the 
consultation.
    (f) The proponent will submit to RMDA (AHRC-PDD-RP) a general notice 
upon approval from the Director, OFR to the proposal for incorporation 
by reference.
    (g) Requirements for updating material incorporated by reference:
    (1) An amendment to the CFR must be published in the Federal 
Register.
    (2) The proponent must provide RMDA (AHRC-PDD-RP) a copy of the 
incorporated material, as amended or revised, to submit to the OFR.
    (3) RMDA will notify the Director, OFR of the changes.
    (h) The proponent will notify RMDA (AHRC-PDD-RP) within 10 working 
days if the rule does not go into effect or when the rule containing the 
incorporation by reference is removed.



Sec. 519.12  Exceptions.

    (a) The Army shall not publish rules in the Federal Register that:
    (1) Involve any matter pertaining to a military or foreign affairs 
function of the United States which has been determined under the 
criteria of an Executive Order or statute to require a security 
classification in the interests of national defense or foreign policy.
    (2) Involve any matter relating to Department of the Army 
Management, personnel, or public contracts, including nonappropriated 
fund contracts.
    (3) Constitute interpretive rules, general statements of policy or 
rules of organization, procedure or practice.
    (4) Merely interpret a rule already adopted by a higher element 
within the Department of the Army or by the Department of Defense.
    (b) A rule issued at the installation level that affects only the 
people near a particular post does not ordinarily apply to the general 
public, so the Army does not usually publish it in the Federal Register.
    (c) It is not necessary to publish in the Federal Register any 
information which comes within one or more of the exemptions to the 
FOIA, 5 U.S.C. 552(b), as implemented by AR 25-55, para. 3-200.



Sec. 519.13  Procedures.

    All matters to be published in accordance with this part will be 
submitted to the RMDA (AHRC-PDD-RP) in the proper format prescribed in 
Sec. 519.17. As provided in Sec.  519.3(e), Army Civil Works proponents 
who are proposing rules for publication in Titles 33 and 36 of the CFR 
may submit the required documents directly to the OFR but must otherwise 
comply with the provisions of this part.



Sec. 519.14  Effect of not publishing.

    Except to the extent that a person has actual and timely notice 
thereof, the Army cannot require the general public to comply with, or 
be adversely affected by, a policy or requirement, as determined in 
Sec. 519.9, until it is published in the Federal Register.



    Subpart C_Inviting Public Comment on Certain Proposed Rules and 
                         Submission of Petitions



Sec. 519.15  General.

    Public comment must be sought on certain proposed rules which are 
required to be published in accordance with Sec. 519.9. All regulations 
affecting the public will be forwarded to RMDA (AHRC-PDD-RP) for review 
and coordination with OMB. This subpart sets forth the criteria and 
procedures for inviting public comment before publication.

[[Page 200]]



Sec. 519.16  Applicability.

    (a) These provisions apply only to those Department of the Army 
rules or portions thereof that:
    (1) Are promulgated after September 7, 2004;
    (2) Must be published in the Federal Register in accordance with 
Sec. 519.9;
    (3) Have a substantial and direct impact on the public or any 
significant portion of the public; and
    (4) Do not merely implement a rule already adopted by a higher 
element within the Department of the Army or by the Department of 
Defense.
    (b) Unless otherwise required by law, the requirement to invite 
advance public comment on proposed rules does not apply to those rules 
or portions thereof that:
    (1) Do not come within the purview of paragraph (a) of this section;
    (2) Involve any matter relating to a military or foreign affairs 
function of the United States that has been determined under the 
criteria of an Executive Order or statute to require a security 
classification in the interests of national defense or foreign policy;
    (3) Involve any matter relating to Department of the Army 
management, personnel, or public contracts, e.g., Armed Services 
Procurement Regulation, including nonappropriated fund contracts;
    (4) Constitute interpretative rules, general statements of policy or 
rules of organization, procedure or practice; or
    (5) The proponent of the rule determines for good cause that 
inviting public comment would be impracticable, unnecessary, or contrary 
to the public interest. This provision will not be utilized as a 
convenience to avoid the delays inherent in obtaining and evaluating 
prior public comment. See also Sec. 519.22.



Sec. 519.17  Procedures when proposing rules.

    (a) A description of the proposed rule will be forwarded to RMDA 
(AHRC-PDD-RP) for regulatory and OMB review. The RMDA will provide a 
Regulation Identifier Number (RIN) used to identify and report the rule 
in the Unified Agenda to the proponent once OMB has approved the rule 
for publication in the Proposed Rules section of the Federal Register. 
Proposed rules that have unresolved issues will not be published in the 
Federal Register.
    (b) The preamble and the proposed rule will be prepared by the 
proponent. Preparation of the preamble and the proposed rule will be in 
accordance with guidance contained in the Federal Register Handbook on 
Document Drafting.
    (c) Public comment will be invited within a designated time, not 
less than 60 days, prior to the intended adoption of the proposed rule.
    (d) Rulemaking proponents will submit the original and three copies 
of the proposed rule and the preamble in the prescribed format to RMDA 
(AHRC-PDD-RP). The RMDA will ensure that the approved rules comply with 
executive and legislative requirements, and have the necessary 
coordination with OMB prior to publication. Upon OMB approval, the RMDA 
will certify and submit the documents to the Office of the Federal 
Register for publication as a proposed, interim, or final rule, as 
applicable.
    (e) If no action has occurred within 1 year of publication, the 
proposed rule will be considered for withdrawal, unless the proponent 
provides justification to RMDA (AHRC-PDD-RP). If the proponent 
determines that the proposed rule must be withdrawn, the proponent will 
submit a document to RMDA (AHRC-PDD-RP) to be published in the Federal 
Register withdrawing the proposed rule. The withdrawal of the proposed 
rule will be reported in the next edition of the Unified Agenda.
    (f) Civil Works projects under the ASA (CW) will submit updated and 
proposed Unified Agenda items to AASA.



Sec. 519.18  OMB Control Number.

    Each rule OMB reviews under the Paperwork Reduction Act is assigned 
an OMB control number which becomes its identifier throughout its life.



Sec. 519.19  Consideration of public comment.

    (a) Following publication of a notice of proposed rulemaking, all 
interested persons will be given an opportunity to participate (60 days) 
in the rulemaking through the submission of written

[[Page 201]]

data, views and arguments to the proponent of the proposed rulemaking 
concerned.
    (b) If the proponent of the rule determines that it is in the public 
interest, a hearing or other opportunity for oral presentation of view 
may be allowed as a means of facilitating public comment. Informal 
consultation by telephone or otherwise can also be utilized to 
facilitate presentation of oral comments by interested persons. All 
hearings or other oral presentations will be conducted by the proponent 
of the rule in a manner prescribed by him/her. A hearing file will be 
established for each hearing. The hearing file will include:
    (1) Public notices issued;
    (2) Request for the hearing;
    (3) Data or material submitted in justification thereof;
    (4) Materials submitted in opposition to the proposed action;
    (5) Hearing transcript; and
    (6) Any other material as may be relevant or pertinent to the 
subject matter of the hearing.
    (c) There is no requirement to respond either orally or in writing, 
individually to any person who submits comments with respect to a 
proposed rule. The proponent of the rule, however, can do so as a matter 
within his/her discretion.



Sec. 519.20  Procedures when publishing adopted rules.

    (a) After careful consideration of all relevant material submitted, 
the proponent of the rule will make such revisions in the proposed rule 
as necessary in light of the comments received.
    (b) If it is impractical for the rule proponent to finalize the rule 
after the comment period, due to extensive unresolved issues, the 
proponent will publish a document withdrawing the proposed rule.
    (c) The proponent will prepare a preamble for publication with the 
final rule. The proponent will discuss in the preamble the comments 
received in response to the proposed rule and the decision to accept or 
reject the comments in the revision to the proposed rule. Preparation 
will be in accordance with guidance contained in the Federal Register 
Handbook on Document Drafting.
    (d) The original and three copies of the preamble and revised rule 
will be forwarded to RMDA (AHRC-PDD-RP) in the proper format. The RMDA 
will then prepare the required certification and submit the documents to 
the Office of the Federal Register for publication in the form of an 
adopted rule.
    (e) The proponent will provide to RMDA (AHRC-PDD-RP), a copy of the 
final rule, a completed OMB Form ``Submission of Federal Rules Under the 
Congressional Review Act'' (available at http://www.whitehouse.gov/WH/
EOP/OMB and http://www.gao.gov), and a concise statement about the rule 
within 14 days of publication date in the Federal Register. The 
proponent will identify whether it is a major or a substantive/
nonsignificant rule, its proposed effective date, significant issues of 
interest, and a cost-benefit analysis of the rule, as applicable. The 
RMDA will submit a copy of all final rules to both Houses of Congress 
and the Government Accounting Office (GAO) per CRA.
    (f) Army Civil Works rulemaking proponents, when proposing rules 
governed by Sec. 519.3(e) of this regulation, may forward the documents 
prescribed in paragraphs (d) and (e) of this section directly to the 
OFR. Army Civil Works proponents are responsible for submitting a copy 
of the final rules to Congress and GAO in accordance with paragraph (e) 
of this section.



Sec. 519.21  Submission of petitions.

    Each proponent of a rule will grant to any interested person the 
right to submit a written petition calling for the issuance, amendment, 
or repeal of any rule to which this part applies or would apply if 
issued, as specified in Sec. 519.16. Any such petition will be given 
full and prompt consideration by the proponent. If compatible with the 
orderly conduct of public business, the appropriate official may, at his 
discretion, allow the petitioner to appear in person for the purpose of 
supporting this petition. After consideration of all relevant matters by 
the proponent, the petitioner will be advised in writing by the 
proponent of the disposition of any petition, together with the reasons

[[Page 202]]

supporting that disposition. This provision does not apply to comments 
submitted on proposed rules in Sec. 519.19.



Sec. 519.22  Cases in which public comment is impractical.

    (a) Whenever a rulemaking proponent determines for good cause that 
inviting public comment regarding a proposed rule would be impractical, 
unnecessary, or contrary to the public interest, he will prepare a brief 
statement of the reasons supporting this determination for incorporation 
in the preamble to the adopted rule. The preamble and adopted rule will 
then be published as outlined in Sec. 519.20(c) and (d).
    (b) Alternatively, the proponent may request RMDA (AHRC-PDD-RP) (by 
letter) to adopt and publish in the Federal Register a separate rule 
exempting from the prepublication notice provisions of this regulation 
those specific categories of rules that the rulemaking proponent has 
determined that public comment would be unnecessary, impractical, or 
contrary to the public interest. The request to RMDA will contain an 
explanation of the reasons why the proponent believes that a particular 
category of rule or rules should not be published in proposed form for 
public comment and a legal review by the proponent's servicing legal 
office. If RMDA in coordination with the Office of Army General Counsel, 
agrees that public comment should not be invited with respect to the 
cited category, the proponent will adopt and publish a separate rule in 
the Federal Register exempting such rule or rules from the requirements 
of this part. This separate rule will include an explanation of the 
basis for exempting each particular category from the provisions of this 
part.



PART 525_ENTRY AUTHORIZATION REGULATION FOR KWAJALEIN MISSILE RANGE
--Table of Contents




Sec.
525.1 General.
525.2 Background and authority.
525.3 Criteria.
525.4 Entry authorization (policy).
525.5 Entry authorization (procedure).

    Authority: 44 U.S.C. 1681, 50 U.S.C. 797, 18 U.S.C. 1001, and E.O. 
11021.

    Source: 48 FR 34028, July 27, 1983, unless otherwise noted.



Sec. 525.1  General.

    (a) Purpose. This regulation prescribes policies and procedures 
governing entry of persons, ships, and aircraft into the Kwajalein 
Missile Range (KMR), Kwajalein Atoll, Marshall Islands.
    (b) Scope. (1) This regulation is applicable to all persons, ships 
and aircraft desiring entry into KMR.
    (2) The entry authorizations issued under this authority are limited 
to KMR and do not apply to entry to any other areas of the Marshall 
Islands.
    (3) In addition to the controls covered by this regulation movement 
within the Kwajalein Missile Range, the territorial sea thereof and 
airspace above, is subject to local control by the Commander, Kwajalein 
Missile Range, and as installation commander.
    (4) This regulation is not applicable to entry authorized by the 
President of the United States pursuant to the United Nations (U.N.) 
Charter and to Article 13 of the Trusteeship Agreement for the Former 
Japanese Mandated Islands.
    (c) Explanation of terms--(1) Department of Defense. A department of 
the executive branch of the U.S. Government which includes the 
Departments of the Army, the Navy, and the Air Force.
    (2) Entry Authorization. Authorization by designated authority for a 
person, a ship, or an aircraft to enter Kwajalein Missile Range, the 
surrounding territorial sea, and the airspace above.
    (3) National Range Commander. The Commander, Ballistic Missile 
Defense Systems Command, is the National Range Commander.

    Address: National Range Commander, Kwajalein Missile Range, 
Ballistic Missile Defense Systems Command, ATTN: BDMSC-R, P.O. Box 1500, 
Huntsville, Alabama 35807.
    Electrical Address: CDRBMDSCOM HUNTSVILLE AL//BMDSC-R//.

    (4) Commander. KMR. The Commander of the Kwajalein Missile Range is 
located at Kwajalein Island, Republic of the Marshall Islands.

    Address: Commander, Kwajalein Missile Range, P.O. Box 26, APO San 
Francisco 96555.

[[Page 203]]

    Electrical Address: CDRKMR MI //BMDSC-RK//

    (5) Excluded person. A person who has been notified by the National 
Range Commander or the Commander, KMR, that authority for said person to 
enter Kwajalein Missile Range or to remain in Kwajalein Missile Range 
has been denied or revoked.
    (6) Unauthorized person. A person who does not hold a currently 
valid entry authorization for the Kwajalein Missile Range and does not 
possess entry rights under authority of paragraph 4-1.a.
    (7) Aliens. Persons who are neither citizens of, nor nationals of, 
nor aliens to the United States of America.
    (8) Permanent resident aliens. Persons who are not citizens of the 
United States of America but who have entered the United States under an 
immigrant quota.
    (9) Military installation. A military (Army, Navy, Air Force, Marine 
Corps, and/or Coast Guard) activity ashore, having a commanding officer, 
and located in an area having fixed boundaries, within which all persons 
are subject to military control and to the immediate authority of a 
commanding officer.
    (10) Public ship or aircraft. A ship, boat, or aircraft owned by or 
belonging to a Government and not engaged in commercial activity.
    (11) Kwajalein Missile Range. Kwajalein Missile Range is defined as 
all those defense sites in the Kwajalein Atoll, Marshall Islands, 
including airspace and adjacent territorial waters, to which the United 
States Government has exclusive rights and entry control by agreement 
with the Trust Territory of the Pacific Islands and the Republic of the 
Marshall Islands.
    (12) Territorial waters. In accordance with title 19, chapter 3, 
section 101 of the Code of the Trust Territory of the Pacific Islands 
territorial waters mean, ``that part of the sea comprehended within the 
envelope of all arcs of circles having a radius of three marine miles 
drawn from all points of the barrier reef, fringing reef, or other reef 
system of the Trust Territory, measured from the low water line, or, in 
the absence of such a reef system, the distance to be measured from the 
low water line of any island, islet, reef, or rocks within the 
jurisdiction of the Trust Territory.''
    (13) Kwajalein Missile Range Airspace. The air lying above the 
Kwajalein Atoll, including that above the territorial waters.
    (14) Trust Territory Republic of the Marshall Islands Registry. 
Registration of a ship or aircraft in accordance with the laws of the 
Trust Territory of the Pacific Islands or the Republic of the Marshall 
Islands.
    (15) U.S. Registry. Registration of a ship or aircraft in accordance 
with the laws and regulations of the United States.
    (16) U.S. Armed Forces. Military personnel of the Department of 
Defense and the United States Coast Guard.
    (17) Principal. A resident of Kwajalein Missile Range who is 
authorized to have his or her dependent(s) reside or visit with him 
(her) on Kwajalein Missile Range.
    (18) Dependent. (i) Spouse of principal.
    (ii) Unmarried child of principal less than 21 years of age.
    (iii) Sponsored individual meeting the dependency criteria of 
section 152, Internal Revenue Code (26 U.S.C. 152), and approved by the 
Commander, Kwajalein Missile Range.



Sec. 525.2  Background and authority.

    (a) Background. (1) Certain areas, due to their strategic nature or 
for purposes of defense, have been subjected to restrictions regarding 
the free entry of persons, ships, and aircraft. Free entry into the 
areas listed and defined in this regulation, and military installations 
contiguous to or within the boundaries of defense site areas, is subject 
to control as provided for in the Executive Order 11021 of May 7, 1962 
and Departments of Interior and Defense Agreement effective July 1, 
1963, or other regulations. Such restrictions are imposed for defense 
purposes because of the unique strategic nature of the area and for the 
protection of the United States Government military bases, stations, 
facilities, and other installations, and the personnel, property, and 
equipment assigned to or located therein. Persons, ships, and aircraft 
are excluded from KMR unless and until they

[[Page 204]]

are granted permission to enter under applicable regulations.
    (2) The control of entry into or movement within KMR by persons, 
ships, or aircraft will be exercised so as to protect fully the physical 
security of, and insure the full effectiveness of, bases, stations, 
facilities, other installations, and individuals within KMR. However, 
unnecessary interference with the free movement of persons, ships, and 
aircraft is to be avoided.
    (3) This regulation will be administered to provide the prompt 
processing of all applications and to insure uniformity of 
interpretation and application insofar as changing conditions permit.
    (4) In cases of doubt, the determination will be made in favor of 
the course of action which will best serve the interests of the United 
States and national defense as distinguished from the private interests 
of an individual or group.
    (b) Authority. (1) The Trust Territory of the Pacific Islands is a 
strategic area administered by the United States under the provisions of 
the Trusteeship Agreement for the Former Japanese Mandated Islands, 
approved by the United Nations April 2, 1947. Congress, by 48 U.S.C. 
Sec. 1681, gave responsibility for this area to the President. By 
Executive Order 11021, the President delegated this authority to the 
Secretary of Interior. By agreement between the Secretary of Interior 
and Secretary of Defense, the Navy became responsible for all entry 
control July 1, 1963. With approval of the Secretary of Defense and 
Director of the Office of Territories, the authority to control entry 
into KMR was transferred to the Army in July of 1964.
    (2) The authority of the Department of the Army to control entry of 
persons, ships, and aircraft into Kwajalein Missile Range is exercised 
through the Commander, Ballistic Missile Defense Systems Command, who is 
the National Range Commander.
    (3) Penalties are provided by law for:
    (i) Violation of regulations imposed for the protection or security 
of military or naval aircraft, airports, air facilities, vessels, 
harbors, ports, piers, waterfront facilities, bases, forts, posts, 
laboratories, stations, vehicles, equipment, explosives, or other 
property or places subject to the jurisdiction of, administration of, or 
in the custody of the Department of Defense (sec. 21 of the Internal 
Security Act of 1950 (50 U.S.C. 797) and Department of Defense Directive 
5200.8 of 29 July 1980.
    (ii) Knowingly and willfully making a false or misleading statement 
or representation in any matter within the jurisdiction of any 
department or agency of the United States (18 U.S.C. 1001).



Sec. 525.3  Criteria.

    (a) General. (1) Entry authorizations may be issued only after the 
National Range Commander, the Commander, KMR, or a duly authorized 
subordinate has determined that the presence of the person, ship, or 
aircraft will not, under existing or reasonably forseeable future 
conditions, endanger, place an undue burden upon, or otherwise 
jeopardize the efficiency, capability or effectiveness of any military 
installation located within Kwajalein Missile Range or areas contiguous 
thereto. Factors to be considered shall include, but not be limited to, 
the true purpose of the entry, the possible burdens or threats to the 
defense facilities which the presence of the ship, aircraft, or the 
individual or individuals involved impose or might reasonably be 
expected to impose on those islands in the Kwajalein Atoll under U.S. 
Army jurisdiction.
    (2) Request for entry authorizations will be evaluated and adjudged 
as to whether the entry at the time and for the purpose stated will or 
will not be inimical to the purposes of U.S. national defense.
    (b) Aliens and permanent resident aliens. (1) Entry of aliens for 
employment or residence (except as specified in paragraph 3-2.b.) in an 
area entirely within the borders of Kwajalein Missile Range is not 
authorized except when such entry would serve the interests of the U.S. 
Government, and then only for specified periods and under prescribed 
conditions. Entry application shall include the name and nationality of 
the person desiring entry.
    (2) Alien and immigrant spouses and dependents of U.S. citizen 
sponsors or

[[Page 205]]

principals assigned to Kwajalein Missile Range may be granted entry 
authorization by the National Range Commander so long as U.S. sponsor or 
principal remains on duty or resides within Kwajalein Missile Range.
    (c) Excluded persons. Excluded persons, as defined in 1-3.e., are 
normally prohibited from entering Kwajalein Missile Range. Excluded 
persons may enter Kwajalein Missile Range only when a bona fide 
emergency exists and the Commander, Kwajalein Missile Range, grants 
permission for them to enter or transit the Kwajalein Missile Range. 
While they are within the jurisdiction of the Commander, Kwajalein 
Missile Range, they will be subject to such restrictions and regulations 
as he may impose.
    (d) Unauthorized persons. Persons not authorized to enter Kwajalein 
will not normally be allowed to debark from authorized ships or aircraft 
at Kwajalein Island or other islands in the Kwajalein Atoll to which the 
U.S. Government has lease rights, except that continuing aircraft 
passengers may be allowed at the discretion of the Commander, Kwajalein 
Missile Range, to debark during aircraft ground time to remain within 
specified portions of the terminal building designated by the Commander, 
Kwajalein Missile Range. In emergency situations, entry of unauthorized 
personnel may be granted by the Commander, Kwajalein Missile Range.
    (e) Entrance to other areas of the Trust Territory. No person, 
unless a citizen, national, or permanent resident alien of the Marshall 
Islands, will be permitted to debark at Kwajalein Missile Range for the 
purpose of transiting to areas under the jurisdiction of the Republic of 
the Marshall Islands without possessing a permit issued by its Chief of 
Immigration.

Address: Chief of Immigration, Office of the Attorney General, Republic 
of the Marshall Islands, Majuro, MI 96960.

    (f) Unauthorized marine vessels and aircraft. No unauthorized marine 
vessel or aircraft shall enter Kwajalein Missile Range unless a bona 
fide emergency exists and the Commander, Kwajalein Missile Range, has 
granted such permission. The Commander, Kwajalein Missile Range, shall 
use all means at his disposal to prevent unauthorized vessels and 
aircraft from entering Kwajalein Missile Range. Unauthorized marine 
vessels and aircraft will be seized for prosecution along with the crew, 
passengers, and cargo.
    (g) Military areas. Entries authorized under this instruction do not 
restrict the authority of the Commander, Kwajalein Missile Range, to 
impose and enforce proper regulations restricting movement into or 
within portions of Kwajalein Missile Range reserved for military 
operations.
    (h) Waivers. No one except the National Range Commander, or his duly 
authorized representative, has authority to waive the requirements of 
this regulation. Any waiver shall be in writing and signed.
    (i) Security clearances. Organizations, including U.S. Government 
contractors, responsible for the assignment of personnel to KMR on 
either a temporary or permanent basis will comply with security 
clearance requirements for the assignment. A copy of the security 
clearance notification will be forwarded to Cdr, BMDSCOM, ATTN: BMDSC-
AU.



Sec. 525.4  Entry authorization (policy).

    (a) Personnel. (1) Persons in the following categories may enter 
Kwajalein Missile Range without obtaining specific entry authorization 
provided the Commander, Kwajalein Missile Range, is notified of 
impending entry 14 days prior to entry date:
    (i) Personnel being assigned to Kwajalein Missile Range as 
permanent-party and traveling on official orders.
    (ii) Personnel being temporarily assigned to Kwajalein Missile Range 
and who are traveling on official orders.
    (iii) Dependents of permanent-party personnel who are accompanying 
their sponsors and are traveling on official orders.
    (iv) Crew members on ships and aircraft authorized to enter 
Kwajalein Missile Range.
    (2) Persons in the following categories will submit request for 
entry authorization to the Commander, Kwajalein Missile Range, ATTN: 
BMDSC-RKE-S:
    (i) Dependents of KMR-based permanent-party personnel for the 
purpose of

[[Page 206]]

joining their sponsors (already stationed at KMR) on either a permanent 
or temporary basis.
    (ii) Citizens, nationals and permanent resident aliens of the 
Republic of the Marshall Islands except those who deplaned for the 
purpose of transiting Kwajalein Defense Site.
    (iii) Citizens of the Trust Territory of the Pacific Islands.
    (iv) U.S. citizen employees and officials of the Trust Territory of 
the Pacific Islands.
    (3) All other personnel, except news media representatives, will 
submit request for entry authorization to the National Range Commander, 
BMDSCOM, ATTN: BMDSC-R (electrical address: CDRBMDSCOM HUNTSVILLE AL //
BMDSC-RA//).
    (4) All requests and notifications will include the following data 
(as applicable):
    (i) Full name(s).
    (ii) Citizenship.
    (iii) Organization.
    (iv) Purpose of entry.
    (v) Point of contact at Kwajalein Missile Range.
    (vi) Inclusive dates of stay.
    (vii) Return address.
    (viii) Proof of security clearance (if access to classified 
information is required).
    (5) News media representatives require authority from the National 
Range Commander to visit Kwajalein Missile Range (news media 
representatives wishing to transit Kwajalein Island to visit any island 
not within the Kwajalein Missile Range must obtain entry authorization 
from the Republic of the Marshall Islands and present same to the air 
carrier at the point of departure to Kwajalein Island). Requests should 
be addressed to the National Range Commander, BMDSCOM, ATTN: BMDSC-S 
(electrical address: CDRBMDSCOM HUNTSVILLE AL//BMDSC-S//) and contain 
the following information:
    (i) Name.
    (ii) Date and place of birth.
    (iii) Citizenship.
    (iv) Organization(s) represented.
    (v) Objective(s) of visit.
    (vi) Desired and alternative arrival and departure dates.
    (vii) Address(es) and telephone number(s) for additional information 
and/or reply.
    (b) Ship. (1) Ships or other marine vessels in the following 
categories, except those which have been denied entry or have had a 
prior entry authorization revoked, may enter the Kwajalein Missile Range 
territorial waters upon request to and approval of the Commander, 
Kwajalein Missile Range:
    (i) U.S. private ships which are:
    (A) Under charter to the Military Sealift Command, or
    (B) Employed exclusively in support of and in connection with a 
Department of Defense construction, maintenance, or repair contract.
    (ii) Trust Territory of the Pacific Islands/RMI ships which have 
been approved by the resident representative on Kwajalein.
    (iii) Any ship in distress.
    (iv) U.S. public ships which are providing a service to the 
Kwajalein Atoll in accordance with their agency responsibilities.
    (2) All other ships or marine vessels must obtain an entry 
authorization from the National Range Commander before entering the 
Kwajalein Atoll territorial sea. The entry authorization application 
should reach the National Range Commander at least 14 days prior to the 
desired entry date and should include the following information:
    (i) Name of ship.
    (ii) Place of registry and registry number.
    (iii) Name, nationality, and address of operator.
    (iv) Name, nationality, and address of owner.
    (v) Gross tonnage of ship.
    (vi) Nationality and numbers of officers and crew (include crew list 
when practicable).
    (vii) Number of passengers (include list when practicable).
    (viii) Last port of call prior to entry into area for which 
clearance is requested.
    (ix) Purpose of visit.
    (x) Proposed date of entry and estimated duration of stay.
    (xi) Whether ship is equipped with firearms or photographic 
equipment.

[[Page 207]]

    (xii) Whether crew or passengers have in their possession firearms 
or cameras.
    (3) Entry authorizations may be granted for either single or 
multiple entries.
    (4) Captains of ships and/or marine vessels planning to enter 
Kwajalein Missile Range shall not knowingly permit excluded persons to 
board their vessels.
    (5) U.S. public ships which are authorized to enter defense areas by 
the controlling Defense Department agency may enter the Kwajalein Atoll 
territorial sea without the specific approval of either the National 
Range Commander or the Commander, KMR, provided that the Commander, KMR, 
is notified as far in advance of the impending entry as is consistent 
with the security requirements pertaining to such movement.
    (c) Aircraft. (1) Aircraft in the following categories, except those 
aircraft which have been denied entry or have had a prior entry 
authorization revoked, may enter Kwajalein Atoll airspace upon request 
to and approval of the Commander, KMR:
    (i) U.S. private aircraft which are under charter to the Military 
Airlift Command.
    (ii) Public aircraft of the Trust Territory of the Pacific Islands/
RMI which have been approved by the resident representative on 
Kwajalein.
    (iii) Private aircraft registered with and approved by the 
Commander, KMR, which are based on Kwajalein Island.
    (iv) Any aircraft in distress.
    (v) Private aircraft operated by a common carrier which is providing 
scheduled air service to or through the Kwajalein Atoll under a current 
license issued by the Department of the Army.
    (vi) U.S. public aircraft which are providing a service to the 
Kwajalein Atoll in accordance with their agency responsibilities.
    (2) All aircraft, except those categorized in paragraph 4-3.a., must 
obtain an entry authorization from the National Range Commander before 
entering Kwajalein Atoll airspace. The entry authorization application 
should reach the National Range Commander at least 14 days prior to the 
desired entry date and should include the following information:
    (i) Type and serial number of aircraft.
    (ii) Nationality and name of registered owner.
    (iii) Name and rank of senior pilot.
    (iv) Nationality and number of crew (include crew list when 
practicable).
    (v) Number of passengers (include list when practicable).
    (vi) Purpose of flight.
    (vii) Plan of flight route, including the point of origin of flight 
and its designation and estimated date and times of arrival and 
departure of airspace covered by this procedure.
    (viii) Radio call signs of aircraft and radio frequencies available.
    (ix) Whether aircraft is equipped with firearms or photographic 
equipment.
    (x) Whether crew or passengers have in their possession firearms or 
cameras.
    (3) Entry authorizations may be granted for either single or 
multiple entries.
    (4) Captains of aircraft planning to enter Kwajalein Missile Range 
airspace shall not knowingly permit excluded persons to board their 
aircraft.
    (5) U.S. public aircraft which are authorized to enter defense areas 
by the controlling Defense Department agency may enter the Kwajalein 
Atoll airspace with the specific approval of either the National Range 
Commander or the Commander, KMR, provided that the Commander, KMR, is 
notified as far in advance of the impending entry as is consistent with 
the security requirement pertaining to such movements.



Sec. 525.5  Entry authorization (procedure).

    (a) Processing. (1) Upon receipt of an application, the appropriate 
officer (either the National Range Commander, the Commander, Kwajalein 
Missile Range or the designated representative) shall take the following 
actions:
    (i) Determine that the entry of the applicant is, or is not, in 
accordance with the criteria set forth in chapter 3. After having made a 
determination, the reviewing authority shall either:

[[Page 208]]

    (A) Issue an entry authorization as requested, or with modifications 
as circumstances require; or
    (B) Deny the request and advise the applicant of his/her right to 
appeal in accordance with the provisions of paragraph 5-2.
    (ii) If the reviewing authority feels that additional information is 
required before reaching a decision, the reviewing authority will 
request that information from the applicant and then proceed as in 
paragraph 5-1.a.(1).
    (iii) If, after having obtained all pertinent information, the 
reviewing authority cannot reach a decision, he/she will forward the 
application to the next higher headquarters. A statement containing the 
following information shall accompany the application:
    (A) A summary of the investigation conducted by the reviewing 
organization.
    (B) The reason the application is being forwarded.
    (C) Appropriate comments and/or recommendations.
    (2) All applicants will be kept fully informed of actions/decisions 
pertaining to his/her application. Normally a response will be forwarded 
to the applicant within ten working days after receipt of an 
application. When the National Range Commander responds to an 
application, he/she will send a copy of that response to the Commander, 
KMR. When the Commander, Kwajalein Missile Range, responds to an 
application, and the National Range Commander has an interest in the 
visit, the Commander, KMR, will concurrently send a copy of that 
response to the National Range Commander.
    (3) Entry authorizations shall state the purpose for which the entry 
is authorized and such other information and conditions as are pertinent 
to the particular authorization.
    (b) Revocations. (1) Entry authorizations may be revoked by the 
National Range Commander or the Commander, Kwajalein Missile Range, for 
misconduct, or termination of status, or upon being advised of the 
discovery of information which would have been grounds for denial of the 
initial request. Such a revocation will be confirmed in writing to the 
holder of an entry authorization. When an entry authorization is 
revoked, a one-way permit will be normally issued as appropriate, to 
permit the ship, aircraft, or person to depart the area.
    (2) When Commander, Kwajalein Missile Range revokes an entry 
authorization, he shall forward a copy of such revocation with 
supporting documentation to the National Range Commander.
    (c) Appeals. (1) Appeals from entry denial or revocation by 
Commander, Kwajalein Missile Range will be filed with the National Range 
Commander. An appeal shall contain a complete statement of the purpose 
of the proposed entry and a statement or reasons why the entry should be 
authorized, or why revocation of entry authorization should not be 
enforced.
    (2) Final appeal letters will be forwarded promptly by the National 
Range Commander to the BMD Program Manager with an indorsement setting 
forth in detail the facts and circumstances surrounding the action 
taken.
    (d) Renewals. Entry authorizations having been granted and utilized 
may be extended or renewed upon request at the expiration of the period 
for which the entry was originally authorized or extended provided the 
justification for remaining in the area or for making a reentry meets 
the criteria set forth in this procedure. It shall be the responsibility 
of every applicant to depart Kwajalein Missile Range upon expiration of 
the time prescribed in the entry authorization, unless such 
authorization has been extended or renewed. Failure to comply herewith 
will be considered as evidence or violation of this procedure and may 
result in denial of future authorizations.

[[Page 209]]



                    SUBCHAPTER B_CLAIMS AND ACCOUNTS





PART 534_MILITARY COURT FEES--Table of Contents




Sec.
534.1 General.
534.2 Allowable expenses for reporters.
534.3 Allowable expenses for witnesses.
534.4 Other fees.

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

    Cross Reference: General Accounting Office, see 4 CFR chapter I.

    Source: 26 FR 9989, Oct. 25, 1961, unless otherwise noted.



Sec. 534.1  General.

    (a) Applicability. This part applies to court reporters and 
interpreters appointed under the Uniform Code of Military Justice, 
Article 28 (10 U.S.C. 828), and witnesses both in Government employ and 
those not in Government employ when subpoenaed to appear before a court.
    (b) Use of term ``court''. The term ``court'' as used in this part 
will be construed to include court-martial, court of inquiry, military 
commission, or retiring board. ``Military commission'' includes any 
United States tribunal, by whatever name described, convened in the 
exercise of military government, martial law, or the laws of war.



Sec. 534.2  Allowable expenses for reporters.

    (a) General. Reporters appointed under the Uniform Code of Military 
Justice, Article 28, are entitled to payment for their services in such 
capacity at the rates specified in paragraphs (b) through (i) of this 
section, or at such lower rates as may be stated in the appointing 
instrument.
    (b) Per diem pay. A reporter is entitled to a per diem payment of 
not to exceed $5 for each day or fraction thereof in attendance at 
court. Only one such payment is authorized for any 1 day even if the 
reporter attends two or more courts. For the purpose of this payment, 
the day ends at midnight and any fraction will be considered a whole 
day.
    (c) Hourly pay. A reporter is entitled to an hourly payment of not 
to exceed 50 cents for each hour, or fractional part equal to or greater 
than one-half hour, actually spent in court during the trial or hearing. 
A fractional part of an hour, less than one-half hour, will be 
disregarded, except that if the total time in attendance in one day or 
at one court in one day is less than 1 hour, such time will be 
considered as 1 hour. Time will be computed separately for each day if 
only one court is attended in such day. If more than one court is 
attended in 1 day, time in attendance at each court will be computed 
separately. The hourly pay is in addition to the per diem prescribed in 
paragraph (b) of this section.
    (d) Piece-work pay--(1) Rates. In addition to per diem and hourly 
pay prescribed in paragraphs (b) and (c) of this section, a reporter 
will be paid on a piece-work basis for transcribing notes and copy work 
based on the following rates:
    (i) Transcribing notes and making that portion of the original 
record which is required to be typewritten--25 cents for each 100 words.
    (ii) Each carbon copy of the record when authorized by the convening 
authority--10 cents for each 100 words.
    (iii) Copying papers material to the inquiry--15 cents for each 100 
words.
    (iv) Each carbon copy of the papers referred to in paragraph 
(d)(1)(iii) of this section when ordered by the court for its use--2 
cents for each 100 words.
    (2) Counting number of words. The certifying officer may determine 
the total number of words by counting the words on a sufficient number 
of pages to arrive at a fair average of words per page and multiplying 
such average by the total number of pages. Abbreviations ``Q'' and ``A'' 
for ``Questions'' and ``Answer'' and all dates such as ``25th'' and 
``1957'' will each be counted as one word. Punctuation marks will not be 
counted as words.
    (e) Mileage. A reporter is entitled to 8 cents a mile for travel 
from his home or usual place of employment to the court and for his 
return journey, computed on the basis of the Rand McNally

[[Page 210]]

Standard Highway Mileage Guide. Mileage is not authorized for return 
trips each night unless the sessions of the court are held on 
nonconsecutive days. The fact that a reporter may serve two or more 
courts in the same day does not warrant a duplication of his mileage 
allowance.
    (f) Allowance in lieu of subsistence--(1) General. When the official 
of the court having control in such matters keeps the reporter at his 
own expense away from his usual place of employment for 24 hours or more 
on public business referred to the court, a per diem allowance of not to 
exceed $4 in lieu of subsistence will be paid to the reporter for 
himself. A like allowance when ordered by the court will be paid to the 
reporter for each necessary assistant. The fact that a reporter returns 
each night to his home does not preclude the view that he is kept away 
from his usual place of employment for 24 hours. Service as reporter 
before two or more courts in the same day does not warrant duplication 
of the per diem allowance in lieu of subsistence.
    (2) Computation. The time for which the per diem allowance for 
expenses is to be paid will be computed in the manner prescribed in 
Sec. 534.3(b)(3) for a civilian witness not in Government employ.
    (g) Allowance for constructive attendance. A reporter duly employed 
but who after arrival at court performs no service because of 
adjournment is entitled to mileage; to a day's pay as prescribed in 
paragraph (c) of this section; and also to the per diem allowance 
prescribed in paragraph (f) of this section if kept away from his usual 
place of employment for 24 hours.
    (h) Detail of enlisted members. Enlisted members may be detailed to 
serve as stenographic reporters for military courts, boards, and 
commissions, but will receive no extra pay for such service.
    (i) Persons receiving pay from Government. Compensation for clerical 
duties performed for a court will not be paid to a person who is in the 
pay of the Government, except retired military members to the extent 
permitted under the dual compensation laws.



Sec. 534.3  Allowable expenses for witnesses.

    (a) Military members--(1) On active duty. Members in the military 
service, on active duty, when required to appear as witnesses before 
courts will receive the appropriate travel and transportation allowances 
prescribed in chapter 4, Joint Travel Regulations.
    (2) Retired members. Retired military members, not on active duty, 
when called as witnesses (other than expert witnesses), are entitled for 
their services as such to the mileage and other fees prescribed in 
paragraph (b)(3) of this section, for civilian witnesses not in 
Government employ.
    (b) Civilians--(1) General. (i) Persons not subject to military law 
when called as witnesses are entitled to the fees and mileage allowed to 
wintesses attending courts of the United States.


(Article 47, Uniform Code of Military Justice (10 U.S.C. 847; 1 Comp. 
Gen. 347))

    (ii) When the court is sitting in a foreign country, the oversea 
commander within whose command the court is convened will fix fees and 
allowances to be paid to witnesses, not in excess of maximum rates 
permitted to witnesses attending the courts of the United States or the 
courts of the foreign country, whichever rates may be higher.
    (2) In Government employ. Any officer or employee of the United 
States or any agency thereof, summoned as a witness on behalf of the 
United States, shall be paid his necessary expenses incident to travel 
by common carrier, or, if travel is made by privately owned automobile, 
mileage at a rate not to exceed 10 cents per mile, together with a per 
diem allowance not to exceed the rate of $12 a day.


(62 Stat. 950, 63 Stat. 103, 704, 69 Stat. 394; 28 U.S.C. 1823(a))

    (3) Not in Government employ--(i) Excluding Alaska and Canal Zone. A 
witness attending in any court of the United States or before a United 
States commissioner or person taking his deposition pursuant to any 
order of the court of the United States, will receive $4 for each day's 
attendance and for the time necessarily occupied in going to

[[Page 211]]

and returning from the same, and 8 cents per mile for going from and 
returning to his place of residence. Witnesses who are not salaried 
employees of the Government and who are not in custody and who attend at 
point so far removed from their respective residences as to prohibit 
return thereto from day to day will be entitled to an additional 
allowance of $8 per day for expenses of subsistence including the time 
necessarily occupied in going to and returning from the place of 
attendance. In lieu of the mileage allowance provided for herein, 
witnesses who are required to travel between the Territories, 
possessions, or to and from the continental United States, will be 
entitled to the actual expenses of travel at the lowest first-class rate 
available at the time of reservation for passage, by means of 
transportation employed. When a witness is detained in prison for want 
of security for his appearance, he will be entitled, in addition to his 
subsistence, to a compensation of $1 a day.
    (ii) In Alaska and Canal Zone. (a) In Alaska such witnesses are 
entitled to the witness fees and mileage prescribed for witnesses before 
the United States district court in the judicial division in which the 
trial or hearing is held. Fees vary in the different judicial divisions.
    (b) In the Canal Zone such witnesses are entitled to the witness 
fees and mileage as are prescribed for witnesses before the United 
States court in the Canal Zone.
    (c) Responsible officers in Alaska and in the Panama Canal Zone will 
keep informed as to the fees payable in United States courts in those 
places.
    (c) Mileage--(1) General. A civilian witness not in Government 
employ, when furnished transportation in kind by the Government, is 
entitled to 8 cents per mile less the cost of transportation furnished. 
A civilian witness residing within the jurisdiction of the court, who is 
subpoenaed and attends the trial in obedience to such subpoena, is 
entitled to mileage between his residence and the place of trial, 
regardless of whether both are in the same city.
    (2) Computation. Mileage at the rate of 8 cents per mile will be 
computed on the basis of the Rand McNally Standard Highway Mileage Guide 
regardless of the mode of transportation used.
    (d) Subsistence per diem allowance--(1) When payable. The 
subsistence per diem allowance is payable only when the place of trial 
is so far removed from the place of residence as to prohibit return of 
the witness thereto from day to day and such fact is properly certified. 
(See 6 Comp. Gen. 835.)
    (2) Computation. In computing the subsistence per diem allowance 
prescribed in paragraph (b)(3)(i) of this section, the calendar day 
beginning at midnight is the unit, and the subsistence per diem 
allowance accrues from the time it is necessary for the witness to leave 
his home in order to arrive at the place of trial at the appointed time 
until the time he could arrive at his home by first available 
transportation after his discharge from attendance, any fractional part 
of a day under such transportation to be regarded as a day for per diem 
purposes. (See 5 Comp. Gen. 1028, as modified by 6 Comp. Gen. 480 and 6 
id. 835.)
    (e) Attendance fees--(1) Attendance at more than one case on same 
day. A person attending as a witness in more than one case on the same 
day under a general subpoena to appear and testify is entitled to only 
one per diem for each day's attendance. If separate subpoenas are issued 
in each case, the defendants being different, the witness is entitled to 
separate per diem for actual attendance in each case. The duplication of 
fees on account of attendance as witness in more than one case on the 
same day does not apply to the 8-cent mileage allowance and does not 
apply to the per diem on $8 in lieu of subsistence.
    (2) Attendance before officer taking deposition. A witness who is 
required to appear before an officer (civil or military) empowered to 
take depositions and there to give testimony under oath to be used 
before a court is entitled for such service and for the necessary travel 
incident thereto, including return travel, to the allowances prescribed 
in paragraphs (a) and (b) of this section, the same as though his 
appearance were before a court. (See 8 Comp. Gen. 18.)
    (3) Attendance before military courts or boards of limited 
jurisdiction. A subpoena

[[Page 212]]

or other compulsory process addressed to a civilian by a military court 
or board which has not express statutory authority to issue such 
process, such as a board of officers convened to investigate and report 
upon the facts connected with the death of an enlisted member while on 
temporary duty, is void. Civilian witnesses who appear before such a 
board in response to such void process must be regarded as having done 
so voluntarily and are not entitled to witness fees, in the absence of a 
specific appropriation therefor. (See 8 Comp. Gen. 64.)
    (4) Computation. The provisions of paragraph (d)(2) of this section 
are equally applicable for computation of the attendance fee.
    (f) Expert--(1) Fees paid. An expert witness employed in accordance 
with Manual for Courts-Martial, 1951, paragraph 116, may be paid 
compensation at the rate prescribed in advance by the official empowered 
to authorize his employment. (See 11 Comp. Gen. 504.) In the absence of 
such advance authorization no fees, other than ordinary witness fees, 
may be paid for the employment of an individual as an expert witness. 
(See paragraph 116, Manual for Courts-Martial (Executive Order 10214).)
    (2) Limitations. (i) An expert while employed on behalf of the 
Government is an officer or employee of the United States within the 
laws affecting traveling and subsistence expenses of officers and 
employees of the Government generally. His traveling allowances are 
therefore subject to the limitations prescribed in the Travel Expense 
Act of 1949 (63 Stat. 166; 5 U.S.C. 835-842) and the Standardized 
Government Travel Regulations. (See 6 Comp. Gen. 712.)
    (ii) There is no authority for payment by the Government of fees to 
an expert, who was employed by an officer or employee of the Government 
to aid in the performance of his duties, other than an expert witness 
who actually appears as such (paragraph (b)(2) of this section).
    (iii) A retired officer, not on active duty, employed as an expert 
witness is not entitled to any compensation in addition to his retired 
pay for such service. The traveling allowances of such a retired 
officer, so employed, are subject to the limitations prescribed in the 
Travel Expense Act of 1949 and the Standardized Government Travel 
Regulations. (See 6 Comp. Gen 712.)
    (g) Witness not subpoenaed--(1) Compelled to testify. A person who, 
although not subpoenaed, is present at trial or hearing before a court 
or other body authorized to compel the attendance of witnesses by 
compulsory process, and who is compelled or required to testify at such 
hearing, is entitled to fees and mileage allowances payable to 
witnesses.
    (2) Voluntarily testifies. A person who was neither subpoenaed nor 
requested to appear as a witness, but who voluntarily requested and was 
granted permission to testify to certain matters considered pertinent to 
an inquiry being conducted, is not entitled to mileage and witness fees. 
(See 9 Comp. Gen. 255.)



Sec. 534.4  Other fees.

    (a) Service of subpoena. Fees or compensation for the service of a 
subpoena by a civilian are not prescribed by the laws of the United 
States. Fees and mileage allowed by the local law for similar services 
may be paid. If no specific fee or mileage is fixed by local law, 
reasonable allowances may be paid. (See Dig. Op. JAG, 1912-40, sec. 
379.)
    (b) Taking of depositions--(1) Fees of civil officers. A civil 
officer before whom a deposition is taken may be paid the fees allowed 
by law of the place where the deposition is taken (or a reasonable fee 
if no specific fee is fixed by local laws), but no mileage or other 
allowance for travel of the civil officer to the witness is provided for 
or authorized by law. (See 2 Comp. Gen. 65.)
    (2) Travel of witnesses. If the witness and the civil officer before 
whom the deposition is to be taken do not reside at the same place, the 
witness should be required to perform the necessary travel, and he is 
entitled to mileage or other travel allowance therefor as prescribed in 
Sec. 534.3(e)(2).
    (3) Oaths in matters of military administration. Where the service 
of one of the officers designated in the Uniform Code of Military 
Justice, Article 136, is not available, fees may be paid to civil 
officers for administering oaths in matters

[[Page 213]]

relating to military administration, subject to the conditions indicated 
in paragraph (b)(1) of this section.
    (c) Interpreters. An interpreter appointed under the Uniform Code of 
Military Justice, Article 28 (10 U.S.C. 828), is entitled for his 
services as such to the allowances prescribed for witnesses (Sec. 
534.3).
    (d) Furnishing copies of official records or documents. The fees 
provided by the local laws may be paid to the proper officials for 
furnishing such certified copies of public records or documents and 
expenses in connection with the procurement of photostatic copies, 
photographs, and negatives as are required by the court.
    (e) Attendance upon civil courts--(1) Cases involving performance of 
official duties. A military member on active duty or a civilian in 
Government employ appearing on behalf of the United States in cases 
arising out of the performance of their official duties is entitled to 
transportation and per diem as prescribed in Sec. 534.3(a)(1) and 
(b)(1). Payment may be made by Department of the Army finance and 
accounting officers and will be charged to Department of the Army 
appropriations available for travel expenses of military personnel and 
civilian employees.
    (2) Cases involving other than performance of official duties. A 
military member on active duty or a civilian in Government employ 
appearing on behalf of the United States in cases involving other than 
the performance of their official duties is entitled to transportation 
or transportation allowances and per diem as may be prescribed by The 
Attorney General. The subpoena or letter requesting attendance will 
specify the rates payable and will cite the appropriation chargeable. 
Payment may be made by a Department of the Army finance and accounting 
officer and reimbursement obtained from the Department of Justice.
    (3) Cases in which civilians not in Government employ are called as 
witnesses. Payments to civilians out of Government employ will not be 
made by Department of the Army finance and accounting officers. Such 
payments will be made by the Department of Justice.



PART 536_CLAIMS AGAINST THE UNITED STATES--Table of Contents




                      Subpart A_General Provisions

Sec.
536.1 Purpose and scope.
536.2 Information and assistance.
536.3 Definitions and explanations.
536.4 Treaties and international agreements.
536.5 Claims.
536.6 Determination of liability.
536.7 Incident to service exclusionary rule.
536.8 Use of appraisers and independent medical examinations.
536.9 Effect on award of other payments to claimant.
536.10 Settlement agreement.
536.11 Appeals and notification to claimant as to denial of claims.
536.12 Effect of payment.
536.13 Advance payments.

    Subpart B_Claims Arising From Activities of Military or Civilian 
              Personnel or Incident to Noncombat Activities

536.20 Statutory authority.
536.21 Definitions.
536.22 Scope.
536.23 Claims payable.
536.24 Claims not payable.
536.25 Claims also cognizable under other statutes.
536.26 Presentation of claims.
536.27 Procedures.
536.28 Law applicable.
536.29 Compensation for property damage, personal injury, or death.
536.30 Structured settlements.
536.31 Claims over $100,000.
536.32 Settlement procedures.
536.33 Attorney fees.
536.34 Payment of costs, settlements, and judgments related to certain 
          medical and legal malpractice claims.
536.40 Claims under Article 139, Uniform Code of Military Justice.
536.50 Claims based on negligence of military personnel or civilian 
          employees under the Federal Tort Claims Act.
536.60 Maritime claims.

  Subpart C_Claims Arising From Activities of National Guard Personnel 
                    While Engaged in Duty or Training

536.70 Statutory authority.
536.71 Definitions.
536.72 Scope.
536.73 Claims payable.
536.74 Claims not payable.
536.75 Notification of incident.
536.76 Claims in which there is a State source of recovery.

[[Page 214]]

536.77 Claims against the ARNG tortfeasor individually.
536.78 When claim must be presented.
536.79 Where claim must be presented.
536.80 Procedures.
536.81 Settlement agreement.

   Subpart D_Claims Incident to Use of Government Vehicles and Other 
      Property of the United States Not Cognizable Under Other Law

536.90 Statutory authority.
536.91 Scope.
536.92 Claims payable.
536.93 Claims not payable.
536.94 When claim must be presented.
536.95 Procedures.
536.96 Settlement agreement.
536.97 Reconsideration.

    Authority: 10 U.S.C. 939, 2733, 2734, 2734a, 2736, 2737, 3012, 4801 
through 4804, and 4806; 28 U.S.C. 1346(b), 2401(b), 2402, 2671 through 
2680; and 32 U.S.C. 715.

    Source: 54 FR 43892, Oct. 27, 1989, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 536.1  Purpose and scope.

    (a) Purpose. Part 536 prescribes policies and procedures to be 
followed in the filing, investigation, processing and administrative 
settlement of Department of Army (DA) generated noncontractual claims. 
Sections 536.1 through 536.13 contain general instructions and guidance 
for the investigation and processing of claims and apply to all claims 
unless other laws or regulations specify other procedures. They are 
intended to ensure that incidents that may result in claims are promptly 
and efficiently investigated under supervision adequate to ensure a 
sound basis for official action and that all claims resulting from such 
incidents are expeditiously settled. The Secretary of the Army has 
delegated authority to The Judge Advocate General (TJAG) to assign areas 
of responsibility and designate functional responsibility for claims 
purposes. TJAG has delegated authority to the Commander, U.S. Army 
Claims Service (USARCS) to carry out these responsibilities. USARCS is 
the agency through which the Secretary of the Army and TJAG discharge 
their responsibilities for claims administration. The proper mailing 
address of USARCS is Commander, U.S. Army Claims Service, Office of The 
Judge Advocate General, Fort George G. Meade, Maryland 20755-5360.
    (b) Scope--(1) Applicability. (i) Sections 536.20 through 536.35 
apply in the settlement of claims under the Military Claims Act (MCA) 
(10 U.S.C. 2733) for personal injury, death or property damage that was 
either caused by members or employees of the DA acting within the scope 
of their employment or otherwise incident to noncombat activities of the 
DA.
    (ii) Section 536.40 sets forth the procedures to be followed and the 
standards to be applied in the processing of claims cognizable under 
Article 139, Uniform Code of Military Justice (UCMJ) (10 U.S.C. 939) for 
property willfully damaged or wrongfully taken or withheld by members of 
the DA.
    (iii) Section 536.50 governs the administrative settlement of claims 
under the Federal Tort Claims Act (FTCA) (28 U.S.C. 1346(b), 2671-2680) 
for personal injury, death or property damage caused by the negligent 
act or omissions of members or employees of the DA while acting within 
the scope of their employment.
    (iv) Section 536.60 provides the procedures to be followed in the 
settlement of claims under the Army Maritime Claims Settlement Act (10 
U.S.C. 4801-4804, 4806) for damage caused by a vessel of or in the 
service of the Army.
    (v) Sections 536.70 through 536.81 provide instructions for 
settlement of claims under the National Guard Claims Act (NGCA) (32 
U.S.C. 715) for personal injury, death or property damage that was 
either caused by a member or employee of the Army National Guard (ARNG) 
while in training or duty under Federal law, and acting within the scope 
of their employment; or otherwise incident to noncombat activities of 
the ARNG not in active Federal service.
    (vi) Sections 536.90 through 536.97 provide instructions for 
settlement of claims under 10 U.S.C. 2737 for personal injury, death or 
property damage (not cognizable under any other law) incident to the use 
of Government property by members or employees of the DA.

[[Page 215]]

    (2) Nonappropriated fund activities. Claims arising from acts or 
omissions of employees of nonappropriated fund activities within the 
United States, its Territories, and possessions, are processed in the 
manner prescribed by applicable regulations. In oversea areas, such 
claims will be processed in accordance with treaties or agreements 
between the United States and foreign countries with respect to the 
settlement of claims arising from acts or omissions of military and 
civilian personnel of the United States in such countries, or in 
accordance with applicable regulations as appropriate.
    (3) Nonapplicability. Sections 536.1 through 536.13 do not apply to:
    (i) Contractual claims which are under the provisions of Public Law 
85-804, 28 August 1958 (72 Stat. 972) and AR 37-103, AR 37-103 and other 
Army Regulations referenced herein are available thru: National 
Technical Information Services, U.S. Department of Commerce, 5285 Port 
Royal Road, Springfield, VA 22161, or other regulations including 
acquisition regulations.
    (ii) Maritime claims (Sec. 536.60).



Sec. 536.2  Information and assistance.

    (a) Government personnel may not represent any claimant or receive 
any payment or gratuity for services rendered. They may not accept any 
share or interest in a claim or assist in its presentation, under 
penalty of Federal criminal law (18 U.S.C. 203, 205). They are 
prohibited from disclosing information which may be the basis of a 
claim, or any evidence of record in any claims matter, except as 
prescribed in Sec. Sec. 518.1 through 518.4 of this chapter or other 
pertinent regulations. A person lacking authority to approve or 
disapprove a claim may not advise a claimant or his representative as to 
the disposition recommended.
    (b) The prohibitions against furnishing information and assistance 
do not apply to the performance of official duty. Any person who 
indicates a desire to file a claim against the United States will be 
instructed concerning the procedure to follow. He will be furnished 
claim forms, and, when necessary, will be assisted in completing the 
forms and assembling evidence. He will not be assisted in determining 
what amount to claim. In the vicinity of a field exercise, maneuver, or 
disaster, information may be disseminated concerning the right to 
present claims, the procedure to be followed, and the names and 
locations of claims officers, and engineer repair teams. When the 
government of a foreign country in which the U.S. Armed Forces are 
stationed has assumed responsibility for the settlement of certain 
claims against the United States, officials of that country will be 
furnished pertinent information and evidence so far as security 
considerations permit.



Sec. 536.3  Definitions and explanations.

    The following terms as used in Sec. Sec. 536.1 through 536.13 and 
the matters referred to in Sec. 536.1(b) will have the meanings here 
indicated:
    (a) Affirmative Claims. The government's statutory right to recover 
money, property, or repayment in kind incurred as a result of property 
loss, damage, or destruction by any individual, partnership, association 
or other legal entity, foreign or domestic, except an instrumentality of 
the United States. Also, the Government's statutory right to recover the 
reasonable medical costs expended for hospital, medical, surgical, or 
dental care and treatment (including prostheses and medical appliances) 
incurred under circumstances creating tort liability upon some third 
person.
    (b) Civilian Employees. Civilian employee means a person whose 
activities the Government has the right to direct and control, not only 
as to the result to be accomplished but also as to the means used; this 
includes, but is not limited to, full-time Federal civilian officers and 
employees. The term should be distinguished from the term ``independent 
contractor'' for whose actions the Government generally is not liable. 
The determination of who is a civilian employee is a Federal question 
determined under Federal law and not under local law.
    (c) Claim. A demand for payment of a specified sum of money (other 
than the ordinary obligations incurred for services, supplies or 
equipment) and, unless otherwise specified in this regulation, in 
writing and signed by the claimant

[[Page 216]]

or a properly designated representative.
    (d) Claim file. The claim, report of the claims officer or other 
report of investigation, supporting documentation, and pertinent 
correspondence.
    (e) Claim approval authority. Except for claims under 10 U.S.C. 939, 
31 U.S.C. 3721, and treaties or international agreements such as the 
North Atlantic Treaty Organization (NATO), Status of Forces Agreement 
(SOFA), and subject to any limitations found in specific provisions of 
these regulations, the authority to approve and pay a claim in the 
amount presented or in a lesser amount upon the execution of a 
settlement agreement by the claimant. A person with approval authority 
may not disapprove a claim in its entirety nor make a final offer, 
subject to any limitations found in specific provisions of this 
regulation.
    (f) Claim settlement authority. The authority to approve a claim, to 
deny a claim in its entirety, or to make a final offer subject to any 
limitations found in specific provisions of this regulation.
    (g) Claims attorney. DA or DOD civilian attorney assigned to a judge 
advocate or legal office, who has been designated by the Commander, 
USARCS.
    (h) Claims judge advocate. An officer of the Judge Advocate 
General's Corps designated by a command or staff judge advocate (SJA) to 
be in immediate charge of claims activities of the command.
    (i) Claims Officer. A commissioned officer, warrant officer, or 
qualified civilian employee detailed by the commander of an installation 
or unit who is trained or experienced in the investigation of claims.
    (j) Claimant. An individual, partnership, association, corporation, 
country, state, territory, or other political subdivision of such 
country; does not include the U.S. Government or any of its 
instrumentalities, except as prescribed by statute. Indian tribes are 
not proper party claimants but individual Indians can be claimants.
    (k) Combat activities. Activities resulting directly or indirectly 
from action by the enemy, or by U.S. Armed Forces engaged in, or in 
immediate preparation for, impending armed conflict.
    (l) Disaster. A sudden and extraordinary calamity occasioned by 
activities of the Army, other than combat, resulting in extensive 
civilian property damage or personal injuries and creating a large 
number of potential claims.
    (m) Federal agency. A federal agency includes the executive 
departments and independent establishments of the United States and 
corporations acting as instrumentalities or agencies of the United 
States but does not include any contractor with the United States.
    (n) Final offer. An offer of payment by a settlement authority in 
full and final settlement of a claim which, if not accepted, constitutes 
a final action for purposes of filing suit under Sec. 536.50 or filing 
an appeal under Sec. Sec. 536.20 through 536.35 and 536.70 through 
536.81, provided such offer is made in writing and meets the other 
requirements of a final action as set forth in this regulation.
    (o) Government vehicle. A vehicle owned or on loan to any agency of 
the Government of the United States or privately owned, and operated by 
members or civilian employees of the DA in the scope of their office or 
employment with the Government of the United States including vehicles 
being operated on joint operations of the U.S. Armed Forces.
    (p) Medical claims judge advocate. A judge advocate (JA) assigned to 
an Army Medical Center, under an agreement between TJAG and The Surgeon 
General, to perform the primary duty of investigating and processing 
medical malpractice claims.
    (q) Medical claims investigator. A senior legal specialist or 
qualified civilian assigned to assist a medical claims JA on a full-time 
basis. A medical claims investigator is authorized to administer oaths 
under the provisions of Article 136(b)(6), UCMJ, 10 U.S.C. 936(b)(6) 
when performing investigative duties.
    (r) Medical malpractice claim. A claim arising out of substandard or 
inadequate care of an Army patient.
    (s) Military personnel. Military personnel means members of the DA 
on active duty for training, or inactive duty training as defined in AR 
310-25 and 10 U.S.C. 101(22), 101(23), and 101(30).

[[Page 217]]

This includes members of the District of Columbia ARNG while performing 
active duty or training under 32 U.S.C. 316, 502, 503, 504 or 505.
    (t) Noncombat activities. A noncombat activity arises from 
authorized activities essentially military in nature, having little 
parallel in civilian pursuits and which historically have been 
considered as furnishing a proper basis for payment of claims, such as 
practice firing of missiles and weapons, training and field exercises, 
and maneuvers, including, in connection therewith, the operation of 
aircraft and vehicles, and use and occupancy of real estate, and 
movement of combat or other vehicles designed especially for military 
use. Activities incident to combat, whether in time of war or not, and 
use of military personnel and civilian employees in connection with 
civil disturbances, are excluded.
    (u) Personal property. Property consisting solely of corporeal 
personal property, that is, tangible things. Personal property does not 
consist of the loss or forfeiture of a security deposit or a contingent 
financial benefit.



Sec. 536.4  Treaties and international agreements.

    (a) The governments of some foreign countries have by treaty or 
agreement waived or assumed, or may hereafter waive or assume, certain 
claims against the United States. In such instances claims will not be 
settled under laws or regulations of the United States.
    (b) The prohibition stated in paragraph (a) of this section is not 
applicable to claims within the purview of Article VIII of the Agreement 
Regarding the Status of Forces of Parties to the North Atlantic Treaty 
or similar type agreements which normally will be investigated and 
settled as therein provided.



Sec. 536.5  Claims.

    (a) Who may present. (1) A claim may be presented by the owner of 
the property, or in his name by a duly authorized agent or legal 
representative. As used in this regulation an owner includes the 
following:
    (i) For real property. The mortgagor, or the mortgagee, if he or she 
can maintain a cause of action in the local courts involving a tort to 
that specific property. When notice of divided interests in real 
property is received, the claim should, if feasible, be treated as a 
single claim or a release from all interests must be obtained.
    (ii) For personal property. A bailee, leasee, mortgagee, and 
conditional vendor, or others having title for purposes of security 
only, are not proper claimants unless specifically authorized by the 
statute and implementing regulations in question. If more than one party 
has a real interest in the property, all must join in the claim or a 
release from all interests must be obtained.
    (2) A claim for personal injury may be presented by the injured 
person or duly authorized agent or legal representative.
    (3) A claim based on death may be presented by the executor or 
administrator of the deceased's estate, or by any person determined to 
be legally or beneficially entitled. The amount allowed will, to the 
extent practicable, be apportioned among the beneficiaries in accordance 
with the law applicable to the incident.
    (4) A claim for medical, hospital, or burial expenses may be 
presented by any person who by reason of family relationship has in fact 
incurred the expenses for which the claim is made. However, for claims 
cognizable under the provisions of the FTCA, see Sec. 536.50, and for 
claims cognizable under the provisions of the Nonscope of Employment 
Claims Act, see Sec. Sec. 536.90 through 536.97.
    (5) A claim presented by an agent or legal representative will be 
made in the name of the claimant and signed by the agent or legal 
representative showing the title or capacity. Written evidence of the 
authority of such person to act is mandatory except when controlling law 
does not require such evidence.
    (6) A claim normally will include all damages that accrue by reason 
of the incident. Where the same claimant has a claim for damage to or 
loss of property and a claim for personal injury or a claim based on 
death arising out of

[[Page 218]]

the same incident, each of the foregoing or any combination of them 
ordinarily represent only an integral part or parts of a single claim or 
cause of action. Under Sec. Sec. 536.20 through 536.35 and the Foreign 
Claims Act (FCA) (10 U.S.C. 2734), a single claimant is entitled to be 
compensated only one time for all damages or injuries arising out of an 
incident.
    (b) Subrogation. A claim may be presented by a subrogee in his own 
name if authorized by the law of the place where the incident giving 
rise to the claim occurred, provided subrogation is not barred by the 
regulation applicable to the type of claim involved.
    (1) The claims of the subrogor (insured) and subrogee (insurer) for 
damages arising out of the same incident constitute separate claims, and 
it is permissible for the aggregate of such claims to exceed the 
monetary jurisdiction of the approving or settlement authority.
    (2) A subrogor and a subrogee may file a claim jointly or 
individually. A fully subrogated claim will be paid only to the 
subrogee. Whether a claim is fully subrogated is a matter to be 
determined by local law. Some jurisdictions permit the property owner to 
file for property damage even though the owner has been compensated for 
the repairs by an insurer. In such instances a release should be 
obtained from both parties in interest or be released by both of them. 
The approved payment in a joint claim will be by joint check which will 
be sent to the subrogee unless both parties specify otherwise. If 
separate claims are filed, payment will be by check issued to each 
claimant to the extent of his undisputed interest.
    (3) Where a claimant has made an election and accepted workmen's 
compensation benefits, both statutory and case law of the jurisdiction 
should be scrutinized to determine to what extent the claim of the 
injured party against third parties has been extinguished by acceptance 
of compensation benefits. While it is infrequent that the claim is fully 
extinguished, it is true in some jurisdictions, and the only proper 
party claimant is the workmen's compensation carrier. Even where the 
injured party's claim has not been fully extinguished, most 
jurisdictions provide that the compensation insurance carrier has a lien 
on any recovery from the third party, and no settlement should be 
reached without approval by the carrier where required by local law. 
Additionally, claims from the workmen's compensation carrier as subrogee 
or otherwise will not be considered payable where the United States has 
paid the premiums, directly or indirectly, for the workmen's 
compensation insurance. Applicable contract provisions holding the 
United States harmless should be utilized.
    (4) Whether medical payments paid by an insurer to its insured can 
be subrogated depends on local law. Some jurisdictions prohibit these 
claims to be submitted by the insurer notwithstanding a contractual 
provision providing for subrogation. Therefore, local law should be 
researched prior to deciding the issue, and claims forwarded to higher 
headquarters for adjudication should contain the results of said 
research. Such claims, where prohibited by state law, will also be 
barred by the Antiassignment Act.
    (5) Care will be exercised to require insurance disclosure 
consistent with the type of incident generating the claim. Every 
claimant will, as a part of his claim, make a written disclosure 
concerning insurance coverage as to:
    (i) The name and address of every insurer;
    (ii) The kind and amount of insurance;
    (iii) Policy number;
    (iv) Whether a claim has been or will be presented to an insurer, 
and, if so, the amount of such claims; and
    (v) Whether the insurer has paid the claim in whole or in part, or 
has indicated payment will be made.
    (6) Each subrogee must substantiate his interest or right to file a 
claim by appropriate documentary evidence and should support the claim 
as to liability and measure of damages in the same manner as required of 
any other claimant. Documentary evidence of payment to a subrogor does 
not constitute evidence either of liability of the Government or of the 
amount of damages. Approving and settlement authorities will make 
independent determinations upon the evidence of record and the law.

[[Page 219]]

    (7) Subrogated claims are not cognizable under Sec. Sec. 536.90 
through 536.97 and the FCA (10 U.S.C. 2734).
    (c) Transfer and assignments. (1) Except as they occur by operation 
of law or after a voucher for the payment has been issued, unless within 
the exceptions set forth by statute (see 31 U.S.C. 3727 and AR 37-107), 
the following are null and void--
    (i) Every purported transfer or assignment of a claim against the 
United States, or of any part of or interest in a claim, whether 
absolute or conditional.
    (ii) Every power of attorney or other purported authority to receive 
payment of all or part of any such claim.
    (2) The purposes of the Antiassignment Act are to eliminate multiple 
payment of claims, to cause the United States to deal only with original 
parties, and to prevent persons of influence from purchasing claims 
against the United States.
    (3) In general, this statute prohibits voluntary assignments of 
claims with the exception of transfers or assignments made by operation 
of law. The operation of law exception has been held to apply to claims 
passing to assignees because of bankruptcy proceedings, assignments for 
the benefit of creditors, corporate liquidations, consolidations or 
reorganizations, and where title passes by operation of law to heirs or 
legatees. Subrogated claims which arise under a statute are not barred 
by the Antiassignment Act. For example, subrogated worker's compensation 
claims are cognizable when presented by the insurer.
    (4) Subrogated claims which arise pursuant to contractual provisions 
may be paid to the subrogee if the subrogated claim is recognized by 
state statute or decision. For example, an insurer under an automobile 
insurance policy becomes subrogated to the rights of a claimant upon 
payment of a property damage claim. Generally, such subrogated claims 
are authorized by state law and are therefore not barred by the 
Antiassignment Act.
    (5) Before claims are paid, it is necessary to determine whether 
there may be a valid subrogated claim under Federal or State statute or 
subrogation contract held valid by State law. If there may be a valid 
subrogated claim forthcoming, payment should be withheld for this 
portion of the claim. If it is determined that claimant is the only 
proper party, full settlement is authorized.
    (d) Action by claimant--(1) Form of claim. The claimant will submit 
his claim using authorized official forms whenever practicable. A claim 
is filed only when the elements indicated in Sec. 536.3(c) have been 
supplied in writing by a person authorized to present a claim, unless 
the claim is cognizable under a regulation that specifies otherwise. A 
claim may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a).
    (2) Signatures. (i) The claim and all other papers will be signed in 
ink by the claimant or by his duly authorized agent. Such signature will 
include the first name, middle initial, and surname. A married woman 
must sign her claim in her given name, for example, ``Mary A. Doe,'' 
rather than ``Mrs. John Doe.''
    (ii) Where the claimant is represented, the supporting evidence 
required by paragraph (a)(5) of this section will be required only if 
the claim is signed by the agent or legal representative. However, in 
all cases in which a claimant is represented, the name and address of 
the representative will be included in the file together with copies of 
all correspondence and records of conversations and other contacts 
maintained and included in the file. Frequently, these records are 
determinative as to whether the statute of limitations has been tolled.
    (3) Presentation. The claim should be presented to the commanding 
officer of the unit involved, or to the legal office of the nearest Army 
post, camp, or station, or other military establishment convenient to 
the claimant. In a foreign country where no appropriate commander is 
stationed, the claim should be submitted to any attache of the U.S. 
Armed Forces. Claims cognizable under Article VIII of the Agreement 
Regarding the Status of Forces of Parties to the North Atlantic Treaty, 
Article XVIII of the Treaty of Mutual Cooperation and Security between 
the

[[Page 220]]

United States and Japan regarding facilities and areas and the Status of 
United States Armed Forces in Japan (Japan SOFA) or other similar treaty 
or agreement are filed with designated claims officials of the receiving 
State.
    (e) Evidence to be submitted by claimant. The claimant should submit 
the evidence necessary to substantiate his claim. It is essential that 
independent evidence be submitted which will substantiate the 
correctness of the amount claimed.
    (f) Statute of limitations--(1) General. Each statute available to 
the Department of the Army for the administrative settlement of claims, 
except the Maritime Claims Settlement Act (10 U.S.C. 4802), specifies 
the time during which the right to file a claim must be exercised. These 
statutes of limitations, which are jurisdictional in nature, are not 
subject to waiver unless the statute expressly provides for waiver. 
Specific information concerning the period for filing under each statute 
is contained in the appropriate implementing sections of this 
regulation.
    (2) When a claim accrues. A claim accrues on the date on which the 
alleged wrongful act or omission results in an actionable injury or 
damage to the claimant or his decedent. Exceptions to this general rule 
may exist where the claimant does not know the cause of injury or death; 
that is, the claim accrues when the injured party, or someone acting on 
his or her behalf, knows both the existence and the cause of his or her 
injury. However, this exception does not apply when, at a later time, he 
or she discovers that the acts inflicting the injury may constitute 
medical malpractice. (See United States v. Kubrick, 444 U.S. 111, 100 S. 
Ct. 352 (1979).) The discovery rule is not limited to medical 
malpractice claims; it has been applied to diverse situations involving 
violent death, chemical and atomic testing, and erosion and hazardous 
work environment. In claims for indemnity or contribution against the 
United States, the accrual date is the time of the payment for which 
indemnity is sought or on which contribution is based.
    (3) Effect of infancy, incompetency or the filing of suit. The 
statute of limitations for administrative claims is not tolled by 
infancy or incompetency. Likewise, the statute of limitations is not 
tolled for purposes of filing an administrative claim by the filing of a 
suit based upon the same incident in a Federal, State, or local court 
against the United States or other parties.
    (4) Amendment of Claims. A claim may be amended by the claimant at 
any time prior to final agency action or prior to the exercise of the 
claimant's option under 28 U.S.C. 2675(a). A claim may be amended by 
changing the amount, the bases of liability, or elements of damages 
concerning the same incident. Parties may be added only if the 
additional party could have filed a joint claim initially. If the 
additional party had a separate cause of action, his claim may not be 
treated as an amendment but only as a separate claim and is thus barred 
if the statute of limitations has run. For example, if a claim is timely 
filed on behalf of a minor for personal injuries, a subsequent claim by 
a parent for loss of services is considered a separate claim and is 
barred if it is not filed prior to the running of the statute of 
limitations. Another example is where a separate claim is filed for loss 
of services or consortium by a spouse arising out of injuries to the 
husband or wife of the claimant. On the other hand, if a claim is timely 
filed by an insured for the deductible portion of the property damage, a 
subsequent claim by the insurer based on payment of property damage to 
its insured may be filed as an amendment even though the statute of 
limitations has run, unless final action has been taken on the insured's 
claim.
    (5) Date of receipt stops the running of the statute. In computing 
the time to determine whether the period of limitations has expired, 
exclude the first day and include the last day, except when it falls on 
a nonworkday such as Saturday, Sunday, or a legal holiday, in which case 
it is to be extended to the next workday.
    (g) By the command concerned--(1) General. If the claim is of a type 
and amount within the jurisdiction of the claims office of the command 
concerned and the claim is meritorious in the amount claimed, it will be 
approved and paid. If a claim in an

[[Page 221]]

amount in excess of the monetary jurisdiction of the claims office is 
meritorious in a lesser amount within its jurisdiction, the claim may be 
approved for payment provided the amount offered is accepted by the 
claimant in settlement of the claim. If the claim is not of a type 
within the jurisdiction of the claims office, or if the claimant will 
not accept an amount within its jurisdiction, the claim with supporting 
papers and a recommendation for appropriate action will be forwarded to 
the next higher claims authority. If the claim is determined to be not 
meritorious, it will be disapproved provided the claims office has 
settlement authority for claims of the type and amount involved. Prior 
to the disapproval of a claim under a particular statute, a careful 
review should be made to ensure that the claim is not properly payable 
under a different statute or on another basis.
    (2) Claims within settlement authority of USARCS or the Attorney 
General. A copy of each of the following types of claims will be 
forwarded immediately to the Commander, USARCS:
    (i) One that appears to be of a type that must be brought to the 
attention of the Attorney General in accordance with his or her 
regulations;
    (ii) One in which the demand exceeds $15,000; or
    (iii) One which is a claim under the FTCA (Sec. 536.50) where the 
total of all claims, arising from a single incident, actual or 
potential, exceeds $25,000. USARCS is responsible for the monitoring and 
settlement of such claims and will be kept informed on the status of the 
investigation and processing thereof. Direct liaison and correspondence 
between the USARCS and the field claims authority or investigator is 
authorized on all claims matters, and assistance will be furnished as 
required. The field claims office will provide USARCS duplicates of all 
documentation as it is added to the field file. This will include all 
correspondence, memoranda, medical reports, reports, evaluations, and 
any other material relevant to the investigation and processing of the 
claim.
    (3) Claims involving privately owned vehicles. In areas where the 
FTCA (Sec. 536.50) is applicable, any claim except those under 31 
U.S.C. 3721, arising out of an accident involving a privately owned 
vehicle driven by a member of the DA, or by ARNG personnel as defined in 
Sec. 536.71, based on an allegation that the privately owned vehicle 
travel was within the scope of employment, should be forwarded without 
adjudication directly to the Commander, USARCS. Additional information 
is provided in Sec. Sec. 536.20 through 536.35, 536.90 through 536.97.
    (4) Claims within the exclusive jurisdiction of USARCS. Authority to 
settle the following claims has been delegated to the Commander, USARCS, 
only:
    (i) Claims of under Article VIII of the Agreement Regarding the 
Status of Forces Parties to the North Atlantic Treaty and other treaties 
or international agreements where the United States is the Receiving 
State;
    (ii) Claims under Sec. 536.60 (Maritime claims not arising out of 
civil works activities) except as delegated to overseas command claims 
services;
    (iii) Industrial security claims, DoD Directive 5220.6, 12 August 
1985; and
    (iv) Claims of the U.S. Postal Service. Files of these claims will 
be forwarded directly to the Commander, USARCS, with the report of 
investigation and supporting papers, including a memorandum of opinion.
    (5) Maritime claims. (i) A copy of a claim arising out of damage, 
loss, injury, or death which originates on navigable waters and is not 
considered cognizable under the Army Maritime Claims Settlement Act (10 
U.S.C. 4802-4804) will be forwarded immediately to the Commander, USARCS 
or appropriate overseas command claims service. A determination will be 
made as to whether the claim must be processed under the Suits in 
Admiralty Act or the Public Vessels Act or may be considered 
administratively.
    (ii) If a maritime claim cannot be settled administratively, the 
claimant will be advised that he must file a suit.
    (iii) If it is determined that both administrative and judicial 
remedies are available, the claim may be processed administratively and 
the claimant advised of the need to file a suit within 2 years of the 
date of occurrence if he chooses his judicial remedy.

[[Page 222]]

    (iv) If the claim is for damage to property, or injury to person, 
consummated on land, a claimant who makes an oral inquiry or demand will 
be advised that no suit can be filed until a period of six months has 
expired after a claim in writing is submitted.
    (v) If it is determined by the Commander, USARCS, that a claim, 
apparently maritime in nature, is not within the maritime jurisdiction, 
the claimant will be so advised, and the claim will be returned for 
processing under the appropriate section of this regulation.
    (h) By district or division engineer. The district or division 
engineer area claims office will take the action of an initial claims 
authority. Files of unpaid claims should be forwarded directly to 
USARCS. An information copy will be sent to the next higher engineer 
authority unless such requirement is waived.
    (i) By higher settlement authority. A higher claims settlement 
authority may take action with respect to a claim in the same manner as 
the initial claims office. However, if it is determined that any further 
attempt to settle the claim would be unwarranted, the claim will be 
forwarded to the Commander, USARCS, with recommendations.



Sec. 536.6  Determination of liability.

    (a) In the adjudication of tort claims, the liability of the United 
States generally is determined in accordance with the law of the State 
or country where the act or omission occurred, except that any conflict 
between local law and the applicable United States statute will be 
resolved in favor of the latter. However, in claims by inhabitants of 
the United States arising in foreign countries, liability is determined 
in accordance with general principles of tort law common to the majority 
of American jurisdictions as evidenced by Federal case law and standard 
legal publications, except as it applies to absolute liability. Where 
liability is not clear or other issues exist, settlements should truly 
reflect the uncertainties in the adjudication of such issues. Compromise 
settlements are encouraged provided agreement can be reached that 
reflects the reduced value of the damages as measured against the full 
value or range of value if such uncertainties or issues did not exist 
and were it possible for the claimant to successfully litigate the 
claim.
    (b) Quantum exclusion. The costs of filing a claim and similar 
costs, for example, court costs, bail, interest, inconvenience expenses, 
or costs of long distance telephone calls or transportation in 
connection with the preparation of a claim, are not proper quantum 
elements and will not be allowed.



Sec. 536.7  Incident to service exclusionary rule.

    (a) General. A claim for personal injury or death of a member of the 
Armed Forces of the United States or a civilian employee of the United 
States that accrued incident to his service is not payable under this 
regulation. A claim for property damage that accrued incident to the 
service of a member of the Armed Forces may be payable under 31 U.S.C. 
3721 or Sec. Sec. 536.20 through 536.35 depending on the facts.
    (b) Property damage claims. A claim for damage to or loss of 
personal property of a claimant who is within one of the categories of 
proper party claimants under 31 U.S.C. 3721, which is otherwise 
cognizable under 31 U.S.C. 3721, must first be considered thereunder. If 
a claim is not clearly compensable under 31 U.S.C. 3721, and it arises 
incident to a noncombat activity of the DA or was caused by a negligent 
or wrongful act or omission of military personnel or civilian employees 
of the Department of Defense (DOD), it may be cognizable under either 
Sec. Sec. 536.20 through 536.35 or Sec.  536.50. The claim, if 
meritorious in fact, will probably be payable under one authorization or 
another regardless of whether the claim accrued incident to the service 
of the claimant.
    (c) Personal injury and death claims. (1) Only after the death or 
personal injury (which is the subject of the claim) has been determined 
to have not been incurred incident to the member's service should 
Sec. Sec. 536.20 through 536.35 and Sec.  536.50 be studied to 
determine which, if either, provides a proper basis for settlement of 
the claim. In any event, the rule in U.S. v. Brooks, 176 F.2d 482 (4th 
Cir. 1949) requiring setoff of

[[Page 223]]

amounts obtained through military or veterans' compensation systems 
against amounts otherwise recoverable will be followed. Other Government 
benefits, funded by general treasury revenues and not by the claimant's 
contributions, may also be used as a setoff against the settlement. 
(See, Overton v. United States, 619 F.2d 1299 (8th Cir. 1980)).
    (2) As the incident to service issue is determinative as to whether 
this type of claim may be processed administratively at all, the 
applicable law and facts should be carefully considered before deciding 
that injury or death was not incident to service. Such claims also are 
often difficult to settle on the issue of quantum and thus more likely 
to end in litigation. Moreover, the United States may well elect to 
defend the lawsuit on the basis of the incident to service exclusion, 
and this defense could be prejudiced by a contrary administrative 
determination that a service member's personal injuries or death were 
not incident to service. Doubtful cases will be forwarded to the 
Commander, USARCS without action along with sufficient factual 
information to permit a determination of the incident to service 
question.



Sec. 536.8  Use of appraisers and independent medical examinations.

    (a) Appraisers. Appraisers should be used in all claims where an 
appraisal is reasonably necessary and useful in effectuating the 
administrative settlement of the claims. The decision to use an 
appraiser is at the discretion of DA.
    (b) Independent medical examinations. In claims involving serious 
personal injuries, for example, normally those cases in which there is 
an allegation of temporary or permanent disability, the claimant should 
be examined by an independent physician, or other medical specialist, 
depending upon the nature and extent of the injuries. The decision to 
conduct an independent medical examination is at the discretion of DA.



Sec. 536.9  Effect on award of other payments to claimant.

    The total award to which the claimant (and subrogee) may be entitled 
normally will be computed as follows:
    (a) Determine the total of the loss or damage suffered.
    (b) Deduct from the total loss or damage suffered any payment, 
compensation, or benefit the claimant has received from the following 
sources:
    (1) The U.S. or ARNG employee/member who caused the damage.
    (2) The U.S. or ARNG employee's/member's insurer.
    (3) Any person or agency in a surety relationship with the U.S. 
employee; or
    (4) Any joint tortfeasor or insurer, to include Government 
contractors under contracts or in jurisdictions where it is permissible 
to obtain contribution or indemnity from the contractor in settlement of 
claims by contractor employees and third parties.
    (5) Any advance payment made pursuant to Sec. 536.13.
    (6) Any benefit or compensation based directly or indirectly on an 
employer-employee relationship with the United States or Government 
contractor and received at the expense of the United States including 
but not limited to medical or hospital services, burial expenses, death 
gratuities, disability payment, or pensions.
    (7) The State (Commonwealth, etc.) whose employee or ARNG member 
caused or generated an incident that was a proximate cause of the 
resulting damages.
    (8) Value of Federal medical care.
    (9) Benefits paid by the Veterans Administration (VA) that are 
intended to compensate the same elements of damage. When the claimant is 
receiving money benefits from the VA under 38 U.S.C. 351 for a non-
service connected disability or death based on the injury that is the 
subject of the claim, acceptance of a settlement or an award under the 
FTCA (Sec. 536.50) will discontinue the VA monetary benefits until the 
amount that would have otherwise been received in VA monetary benefits 
is equal to the total amount of the agreement or award including 
attorney fees. While monetary benefits received under 38 U.S.C. 351 must 
be discontinued as above, medical benefits, that is, VA medical care may 
continue provided the settlement or award expressly provides for such 
continuance and the appropriate VA official is informed of such 
continuance.

[[Page 224]]

    (10) When the claimant is receiving money benefits under 38 U.S.C. 
410(b) for non-service connected death, arising from the injury that is 
the subject of the claim, acceptance of a settlement or award under the 
FTCA (Sec. 536.50) or under any other tort procedure will discontinue 
the VA benefits until the amount that would have otherwise been received 
in VA benefits is equal to the amount of the total settlement or award 
including attorney fees. The discontinuation of monetary benefits under 
38 U.S.C. 410(b) has no effect on the receipt of other VA benefits. The 
claimant should be informed of the foregoing prior to the conclusion of 
any settlement and thus afforded an opportunity to make appropriate 
adjustment in the amount being negotiated.
    (11) Value of other Federal benefits to which the claimant did not 
contribute, or at least to the extent they are funded from general 
revenue appropriation.
    (12) Collateral sources where permitted by State law (for example, 
State or Federal workers' compensation, social security, private health, 
accident, and disability benefits paid as a result of injuries caused by 
a health care provider).
    (c) No deduction will be made for any payment the claimant has 
received by way of voluntary contributions, such as donations of 
charitable organizations.
    (d) Where a payment has been made to the claimant by his insurer or 
other subrogee, or under workmen's compensation insurance coverage, as 
to which subrogated interests are allowable, the award based on total 
damages will be apportioned as their separate interests are indicated 
(see Sec. 536.5(b)).
    (e) After deduction of permissible collateral and non-collateral 
sources, also deduct that portion of the loss or damage believed to have 
been caused by the negligence of the claimant, third parties whose 
negligence can be imputed to the claimant, or joint tortfeasors who are 
liable for their share of the negligence (for example, where some form 
of the Uniform Contribution Among Joint Tortfeasors Act has been 
passed).
    (f) Claims with more than one potential source of recovery. (1) The 
Government seeks to avoid multiple recovery, that is, claimants seeking 
recovery from more than one potential source, and to minimize the award 
it must make. The claims investigation should therefore identify other 
parties potentially liable to the claimant and/or their insurance 
carriers; indicate the status of any claims made or include a statement 
that none has been made so that it can be assured there is only one 
recovery and the Government does not pay a disproportionate share. Where 
no claim has been made by the claimant against others potentially 
liable, if applicable State law grants the Government the right to 
indemnity or contribution, and it is felt the Government may be entitled 
to either under the facts developed by the claims investigation, the 
claims officer or attorney should formally notify the other parties of 
their potential liability, the Government's willingness to share 
information, and its expectation of shared responsibility for any 
settlement. Furthermore, the claimant may be receiving or entitled to 
receive benefits from collateral and non-collateral sources, which can 
be deducted from the total loss or damage. Accordingly, a careful review 
must be made of applicable State laws regarding joint and several 
liability, indemnity, contribution, comparative negligence, and the 
collateral source doctrine.
    (2) If a demand by a claimant or an inquiry by a potential claimant 
is directed solely to the Army, in a situation where it appears that the 
responsible Army employee may have applicable insurance coverage, 
inquiry should be made of the employee as to whether he has liability 
insurance.
    (i) If so, determine if the insurer has made or will make any 
payment to claimant. Under applicable State law, the United States may 
be an additional named insured entitled to coverage under the employee's 
liability policy. (See 16 ALR3d 1411; United States v. State Farm Mutual 
Ins. Co., 245 F. Supp. 58 (D. Ore. 1965.)) Therefore, where there may be 
applicable insurance coverage, there should be a review of the policy 
language together with the rules and regulations of the State insurance

[[Page 225]]

regulatory body to determine whether the United States comes within the 
definition of ``insured,'' and whether the exclusion of the United 
States from policy coverage conforms with state law and policy.
    (ii) If the employee refuses to cooperate in providing this 
information, he or she should be advised to comply with the notice 
requirements of the insurance policy and to request the insurance 
carrier contact the claims officer or attorney. In addition, other 
sources of information, such as vehicle registration records, will be 
checked to ascertain the employee's insurer. The case should be followed 
to ascertain whether the employee's insurer has made or will make any 
payment to the claimant before deciding whether to settle the claim 
against the Government. Normally, the award, if any, to the claimant 
will be reduced by the amount of the payment of the employee's insurance 
carrier.
    (3) If the employee is the sole target of the claim and Army claims 
authorities arrange to have the claim made against the Government, the 
member or employee should be required to notify his or her insurance 
carrier according to the policy and inform DA claims authorities as to 
the details of the insurance coverage, including the name of the 
insurance carrier. Except when the ``Drivers Act'' is applicable, the 
insurance carrier is expected to participate in the negotiation of the 
claims settlement and to pay its fair share of any award to the 
claimant.
    (4) Where the responsible Army employee is ``on loan'' to another 
employer other than the United States, for example, civilian institution 
for ROTC instructor, or performing duties for a foreign government, 
inquiry should be made to determine whether there is applicable 
statutory or insurance coverage concerning the acts of the responsible 
employee and contribution or indemnification sought, as appropriate. In 
the case of foreign governments, applicable treaties or agreements are 
considered controlling.
    (5) A great many claims cognizable under the FTCA (Sec. 536.50) are 
now settled on a compromise basis. A major consideration in many such 
settlements is the identification of other sources of recovery. This is 
true in a variety of factual situations where there is a potential joint 
tortfeasor; for example, multi-vehicle accidents with multiple drivers 
and guest passengers, State or local government involvement, contractors 
performing non-routine tasks for the Government, medical treatment 
rendered to a claimant by non-Government employees, or incidents caused 
by a member or employee of the military department of a State or 
Commonwealth with whom the DA does not have a cost-sharing agreement. 
The law of the jurisdiction regarding joint and several liability, 
indemnity and contribution may permit shared financial responsibility, 
but even in jurisdictions which do not permit contribution, a compromise 
settlement can often be reached with the other tortfeasor's insurance 
company paying a portion of the total amount of the claim against the 
Government. For these reasons, every effort should be made to identify 
the insurance of all potential tortfeasors involved and the status of 
any claims made, and to demand contribution or indemnity where there is 
a substantial reason to believe that liability for the loss or damage 
should be shared.
    (6) Whenever a claim is filed against the Government under a statute 
which does not permit the payment of a subrogated interest, it is 
important to ensure that full information is obtained from the claimant 
regarding insurance coverage, if any, since it is the clear legislative 
intent of such statutes that insurance coverage be fully utilized before 
using appropriated funds to pay the claims.



Sec. 536.10  Settlement agreement.

    (a) General. Except under 31 U.S.C. 3721, if a claim is determined 
to be meritorious in an amount less than claimed, or if a claim 
involving personal injuries or death is approved in full, a settlement 
agreement will be obtained prior to payment. Acceptance by a claimant of 
an award constitutes a full and final settlement and release of any and 
all claims against the United States and against the military or 
civilian personnel whose act or omission gave rise to the claim.

[[Page 226]]

    (b) Claims involving workmen's compensation carriers. The settlement 
of a claim involving a claimant who has elected to receive workmen's 
compensation benefits under local law may require the consent of the 
workmen's compensation carrier and in certain jurisdictions the State 
agency with authority over workmen's compensation awards. Accordingly, 
claims approval and settlement authorities should be aware of local 
requirements.



Sec. 536.11  Appeals and notification to claimant as to denial of claims.

    (a) General. The nature and extent of the written notification to 
the claimant as to the denial of his claim should be based on whether 
the claimant has a judicial remedy following denial or whether he has an 
administrative recourse to appeal.
    (b) Final Actions under the Federal Tort Claims Act (28 U.S.C. 2671-
2680) Sec. 536.50. If the settlement authority has information 
available which could possibly be a persuasive factor in the decision of 
the claimant as to whether to resort to litigation, such information may 
be orally transmitted to the claimant and, in appropriate cases, 
released under normal procedures in accordance with AR 340-17. However, 
the written notification of the denial should be general in nature; for 
example, denial on the weaker ground of contributory negligence should 
be avoided, and the inclination should be to deny on the basis that the 
claimant was solely responsible for the incident. The claimant will be 
informed in writing of his right to bring an action in the appropriate 
United States District Court not later than 6 months after the date of 
mailing of the notification.
    (c) Denials under the MCA (10 U.S.C. 2733) Sec. Sec. 536.20 through 
536.35 and the NGCA (32 U.S.C. 715) Sec. Sec. 536.70 through 536.81. 
Claims disapproved under these statutes are subject to appeal and the 
claimant will be so informed. Also, the notice of disapproval will be 
sufficiently detailed to provide the claimant with an opportunity to 
know and attempt to overcome the basis for the disapproval. The claimant 
should not be afforded a valid basis for claiming surprise when an issue 
adverse to him is asserted as a basis for denying his appeal.
    (d) Denials on jurisdictional grounds. Regardless of the nature of 
the claim presented or the statute under which it may be considered, 
claims denied on jurisdictional grounds which are valid, certain, and 
not easily overcome and in which for this reason no detailed 
investigation as to the merits of the claim is conducted, should contain 
in the denial letter a general statement to the effect that the denial 
on such grounds is not to be construed as an expression of opinion on 
the merits of the claim or an admission of liability. If sufficient 
factual information is available to make a tentative ruling on the 
merits of the claim, liability may be expressly denied.
    (e) Where claim may be considered under more than one statute. In 
cases in which it is doubtful as to whether the MCA (Sec. Sec. 536.20 
through 536.35) or the NGCA (Sec. Sec. 536.70 through 536.81) or the 
FTCA (Sec. 536.50) is the appropriate statute under which to consider 
the claim, the claimant will be advised of the alternatives, for 
example, the right to sue or the right to appeal. Similarly, a claimant 
may be advised of his alternative remedies when the claimant is a 
military member and the issue of ``incident to service'' is not clear.



Sec. 536.12  Effect of payment.

    Acceptance of an award by the claimant, except for an advance 
payment, constitutes for the United States, and for the military member 
or civilian employee whose act or omission gave rise to the claim, a 
release from all liability to the claimant based on the act or omission.



Sec. 536.13  Advance payments.

    (a) Purpose. This section implements the Act of 8 September 1961 (75 
Stat. 488, 10 U.S.C. 2736), as amended by Public Law 90-521 (82 Stat. 
874), Public Law 98-564 (98 Stat. 2918) and Public Law 100-456. No new 
liability is created by 10 U.S.C. 2736, which merely permits partial 
advance payments on meritorious claims as specified in this section.
    (b) Conditions for advance payment. An advance payment not in excess 
of $100,000 is authorized in the limited

[[Page 227]]

category of claims resulting in immediate hardship arising from 
incidents that are payable under the provisions of Sec. Sec. 536.20 
through 536.35, 536.70 through 536.81, or the FCA (10 U.S.C. 2734). An 
advance payment is authorized only under the following circumstances:
    (1) The claim must be determined to be cognizable and meritorious 
under the provisions of either Sec. Sec. 536.20 through 536.35, and 
536.70 through 536.81, or the FCA (10 U.S.C. 2734).
    (2) There exists an immediate need of the person who suffered the 
injury, damage, or loss, or of the family of a person who was killed, 
for food, clothing, shelter, medical or burial expenses, or other 
necessities, and other resources for such expenses are not reasonably 
available.
    (3) The payee, so far as can be determined, would be a proper 
claimant, as is the spouse or next of kin of a claimant who is 
incapacitated.
    (4) The total damage sustained must exceed the amount of the advance 
payment.
    (5) A properly executed advance payment acceptance agreement has 
been obtained.



    Subpart B_Claims Arising From Activities of Military or Civilian 
              Personnel or Incident to Noncombat Activities



Sec. 536.20  Statutory authority.

    The statutory authority for Sec. Sec. 536.20 through 536.35 is 
contained in the Act of 10 August 1956 (70A Stat. 153, 10 U.S.C. 2733) 
commonly referred to as the Military Claims Act (MCA), as amended by 
Public Law 90-522, 26 September 1968 (82 Stat. 875), Public Law 90-525, 
26 September 1968 (82 Stat. 877), Public Law 91-312, 8 July 1970 (84 
Stat. 412) and Public Law 93-336, 8 July 1974 (88 Stat. 291); and the 
Act of 8 September 1961 (75 Stat. 488, 10 U.S.C. 2736), as amended by 
Public Law 90-521, 26 September 1968 (82 Stat. 874) and Public Law 98-
564, 30 October 1984 (98 Stat. 2918).



Sec. 536.21  Definitions.

    The definitions of terms set forth in Sec. 536.3 are applicable to 
Sec. Sec. 536.20 through 536.35.



Sec. 536.22  Scope.

    Sections 536.20 through 536.35 are applicable in all places and 
prescribe the substantive bases and special procedural requirements for 
the settlement of claims against the United States for death, personal 
injury, or damage to or loss or destruction of property caused by 
military personnel or civilian employees of the DA acting within the 
scope of their employment, or otherwise incident to the noncombat 
activities of the DA, provided such claim is not for personal injury or 
death of a member of the Armed Forces or Coast Guard or a civilian 
officer or employee whose injury or death is incident to service.



Sec. 536.23  Claims payable.

    (a) General. Unless otherwise prescribed, a claim for personal 
injury, death, or damage to or loss of real or personal property is 
payable under Sec. Sec. 536.20 through 536.35 when--
    (1) Caused by an act or omission determined to be negligent, 
wrongful, or otherwise involving fault of military personnel or civilian 
officers or employees of the Army acting within the scope of their 
employment, or
    (2) Incident to the noncombat activities of the Army.
    (b) Property. The loss or damage to property which may be the 
subject of claims under Sec. Sec. 536.20 through 536.35 includes--
    (1) Real property used and occupied under a lease, express or 
implied, or otherwise (for example, in connection with training, field 
exercises, or maneuvers). An allowance may be made for the use and 
occupancy of real property arising out of trespass or other tort, even 
though claimed as rent.
    (2) Personal property bailed to the Government under an agreement, 
express or implied, unless the owner has expressly assumed the risk of 
damage or loss. Some losses may be payable using Operations and 
Maintenance, Army funds. Clothing damage or loss claims arising out of 
the operation of an Army Quartermaster laundry are

[[Page 228]]

considered to be incident to service and are payable only if claimant is 
not a proper claimant under 31 U.S.C. 3721.
    (3) Registered or insured mail in the possession of the Army, even 
though the loss was caused by a criminal act.
    (c) Effect of FTCA. A claim arising in the United States may be 
settled under Sec. Sec. 536.20 through 536.35 only if the FTCA (28 
U.S.C. 2671-2680), Sec. 536.50, has been judicially determined not to 
be applicable to claims of this nature, or if the claim arose incident 
to noncombat activities.
    (d) Advance payments. Advance payments under 10 U.S.C. 2736, as 
amended, in partial payment of meritorious claims to alleviate immediate 
hardship are authorized.



Sec. 536.24  Claims not payable.

    A claim is not payable under Sec. Sec. 536.20 through 536.35 
which--
    (a) Results wholly from the negligent or wrongful act of the 
claimant or agent.
    (b) Is for reimbursement for medical, hospital, or burial expenses 
furnished at the expense of the United States.
    (c) Is purely contractual in nature.
    (d) Arises from private as distinguished from Government 
transactions.
    (e) Is based solely on compassionate grounds.
    (f) Is for war trophies or articles intended directly or indirectly 
for persons other than the claimant or members of his or her immediate 
family, such as articles acquired to be disposed of as gifts or for sale 
to another, voluntarily bailed to the Army, or is for precious jewels or 
other articles of extraordinary value voluntarily bailed to the Army. 
The preceding sentence is not applicable to claims involving registered 
or insured mail. No allowance will be made for any item when the 
evidence indicates that the acquisition, possession, or transportation 
thereof was in violation of DA directives.
    (g) Is for rent, damage, or other payments involving the 
acquisition, use, possession, or disposition of real property or 
interests therein by and for the DA, except as authorized by Sec. 
536.23(b)(1). Real estate claims founded upon contract are generally 
processed under AR 405-15.
    (h) Is not in the best interests of the United States, is contrary 
to public policy, or is otherwise contrary to the basic intent of the 
governing statute (10 U.S.C. 2733); for example, claims by inhabitants 
of unfriendly foreign countries or by or based on injury or death of 
individuals considered to be unfriendly to the United States. When a 
claim is considered to be not payable for the reasons stated in this 
paragraph, it will be forwarded for appropriate action to the Commander, 
USARCS, together with the recommendations of the responsible claims 
office.
    (i) If presented by a national, or a corporation controlled by a 
national, or a country at war or engaged in armed conflict with the 
United States, or of any country allied with such enemy country unless 
the settlement authority having jurisdiction over the claim determines 
that the claimant is and, at the time of the incident, was friendly to 
the United States. A prisoner of war or an interned enemy alien is not 
excluded as to a claim for damage, loss, or destruction of personal 
property in the custody of the Government otherwise payable.
    (j) Is for personal injury or death of a member of the Armed Forces 
or Coast Guard or a civilian employee thereof which is incident to his 
or her service (10 U.S.C. 2733(b)(3)).
    (k) The types of claims not payable under the FTCA (see Sec. 
536.50(j)) are also not payable under Sec. Sec. 536.20 through 536.35 
with the following exceptions:
    (1) The foreign country exclusion in 28 U.S.C. 2680(k) does not 
apply to claims under Sec. Sec. 536.20 through 536.35.
    (2) The Feres bar in Sec. 536.50(j)(1) does not apply to claims 
under Sec. Sec. 536.20 through 536.35, but see the exclusion in 
paragraph (j) of this section.



Sec. 536.25  Claims also cognizable under other statutes.

    (a) General. Claims based upon a single act or incident cognizable 
under Sec. Sec. 536.20 through 536.35, which are also cognizable under 
the FTCA (28 U.S.C. 2671-2680) Sec. 536.50, the Army Maritime Claims 
Settlement Act (10 U.S.C. 4801-04, 4806) Sec. 536.60, the FCA (10 
U.S.C. 2734), or title 31, U.S.C. section 3721 (Personnel Claims), will 
be considered

[[Page 229]]

first under the latter statutes. If not payable under any of those 
latter statutes, the claim will be considered under Sec. Sec. 536.20 
through 536.35.
    (b) Claims in litigation. Disposition under Sec. Sec. 536.20 
through 536.35 of any claim of the type covered by this section that 
goes into litigation in any State or Federal court under any State or 
Federal statute or ordinance will be suspended pending disposition of 
such litigation and the claim file will be forwarded to the Commander, 
USARCS. The Commander, USARCS, in coordination with the U.S. Department 
of Justice, may determine that final disposition under Sec. Sec. 536.20 
through 536.35 during pendency of the litigation is in the best 
interests of the United States. This section will also apply to any 
litigation brought against any agent of the United States in his or her 
individual capacity which is based upon the same acts or incidents upon 
which a claim under Sec. Sec. 536.20 through 536.35 is based.



Sec. 536.26  Presentation of claims.

    (a) When claim must be presented. A claim may be settled under 
Sec. Sec. 536.20 through 536.35 only if presented in writing within 2 
years after it accrues, except that if it accrues in time of war or 
armed conflict, or if war or armed conflict intervenes within 2 years 
after it accrues, and if good cause is shown, the claim may be presented 
not later than 2 years after war or armed conflict is terminated. As 
used in this section, a war or armed conflict is one in which any Armed 
Force of the United States is engaged. The dates of commencement and 
termination of an armed conflict must be as established by concurrent 
resolution of Congress or by determination of the President.
    (b) Where claim must be presented. A claim must be presented to an 
agency or instrumentality of the DA. However, the statute of limitations 
is tolled if a claim is filed with another agency of the Government and 
is forwarded to the DA within 6 months, or if the claimant makes inquiry 
of the DA concerning his or her claim within 6 months after it was filed 
with another agency of the Government. If a claim is received by an 
official of the DA who is not a claims approval or settlement authority 
under Sec. Sec. 536.20 through 536.35, the claim will be transmitted 
without delay to the nearest claims office or JA office for delivery to 
such an authority.



Sec. 536.27  Procedures.

    So far as not inconsistent with Sec. Sec. 536.20 through 536.35, 
the procedures set forth in Sec. Sec. 536.1 through 536.13 will be 
followed. Subrogated claims will be processed as prescribed in Sec. 
536.5(b).



Sec. 536.28  Law applicable.

    (a) As to claims arising in the United States, its territories, 
commonwealths, and possessions, the law of the place where the act or 
omission occurred will be applied in determining liability and the 
effect of contributory negligence on claimant's right to recover 
damages.
    (b) In claims arising in a foreign country, liability of the United 
States will be assessed by reference to general principles of tort law 
common to the majority of United States jurisdictions. Absolute 
liability and similar theories are not a basis for liability under this 
section. Damages will be determined under Sec. 536.29. If the 
negligence of the claimant was a partial cause of the injury, loss or 
damage, recovery will be barred if the negligence of the claimant is 
greater than that of the United States. In traffic accident cases, 
questions of negligence, and the degree of the claimant's comparative 
negligence, will be evaluated based on the traffic and vehicle safety 
laws and regulations of the country in which the accident occurred, but 
only to the extent they are not specifically superseded or preempted by 
the United States military traffic regulations.



Sec. 536.29  Compensation for property damage, personal injury, or death.

    (a) Measure of damages for property claims--(1) General. The measure 
of damages in property claims arising in the United States or its 
possessions will be determined in accordance with the law of the place 
where the incident occurred. The measure of damages in property claims 
arising overseas will be determined in accordance with general 
principles of United States tort law.

[[Page 230]]

    (2) Proof of damage. The information listed below (similar to that 
required by 28 CFR 14.4(c)) will be submitted by a claimant to 
substantiate a claim.
    (i) Proof of ownership.
    (ii) Detailed statement of amount claimed for each item of property.
    (iii) Itemized receipt of estimate for all repairs.
    (iv) Statement giving date of purchase, price and, where not 
economically repairable, the salvage value.
    (3) Appraisals. The assistance of appraisers should be used in all 
claims where, in the opinion of the claims officer, an appraisal is 
reasonably necessary and useful in reaching an administrative settlement 
of claims.
    (b) Measure of damages in injury or death claims arising in the 
United States or its possessions. Where an injury or an injury resulting 
in death arises within the United States or its possessions, the measure 
of damages will be determined in accordance with the law of the State or 
possession wherein the injury arises.
    (1) The information listed below (similar to that required by 28 CFR 
14.4(a)) will be submitted by a claimant to substantiate a wrongful 
death claim.
    (i) Authenticated death certificate or other competent evidence 
showing date and cause of death and age of decedent.
    (ii) Decedent's employment and occupation at time of death, 
including salary or earnings and duration of last employment or 
occupation.
    (iii) Names, addresses, birthdates, kinship and marital status of 
survivors.
    (iv) Identification of persons dependent on decedent for support at 
time of death and the degree of support provided.
    (v) Decedent's general physical and mental condition at time of 
death.
    (vi) Itemized bills or receipt for medical and burial expenses.
    (vii) If damages for pain and suffering are claimed, a physician's 
statement specifying the injuries suffered, duration of pain and 
suffering, drugs administered and decedent's physical condition between 
time of injury and time of death.
    (2) The information listed below (similar to that required by 28 CFR 
14.4(b)) will be submitted by a claimant to substantiate a personal 
injury claim.
    (i) Written report by attending the physician or dentist setting 
forth the:
    (A) Nature and extent of injury;
    (B) Nature and extent of treatment;
    (C) Degree of temporary or permanent disability;
    (D) Prognosis;
    (E) Period of hospitalization; and
    (F) Diminished earning capacity.
    (ii) Itemized bills or receipts for medical, dental and hospital 
expenses.
    (iii) If the prognosis includes future treatment, a statement of 
expected expenses for such treatment.
    (iv) If the claim includes lost time from employment, a statement by 
the employer showing the actual time lost and wages and/or salary lost.
    (v) If the claim includes lost income by a self-employed claimant, 
documentary evidence of such loss.
    (c) Measure of damages in injury or death claims arising in foreign 
countries. (1) Subject to the limitations in Sec. 636.29e, where an 
injury, or injury resulting in death arises in a foreign country, the 
measure of damages will be determined in accordance with established 
principles of general maritime law (see generally, Moragne v. United 
States Lines, Inc., 398 U.S. 375 (1970), as interpreted by Federal Court 
decisions). Where general maritime law provides no interpretation of 
allowable damages under a particular theory of liability (e.g., wrongful 
birth), damages will be determined in accordance with general principles 
of United States tort law.
    (2) The information listed in Sec. 536.29(b) (1) and (2), as 
appropriate, will be submitted by the claimant to substantiate a claim.
    (3) A claimant who suffers serious personal injury, resulting in 
temporary or permanent disability should be examined by an independent 
physician or other medical specialist (See Sec. 536.8(b)).
    (d) Failure to substantiate a claim. (1) The government is not 
obligated to take final action on a claim until it has been supported by 
the claimant with specific facts substantiated by appropriate 
documentary evidence, reports of investigation, medical records or 
witness statements. Upon request, the claimant must:

[[Page 231]]

    (i) Provide the documentation required by paragraphs (a), (b) and 
(c) of this section;
    (ii) Undergo necessary medical examinations;
    (iii) Permit questioning of the claimant, his or her witness, and 
treating medical personnel;
    (iv) Submit an expert opinion in a professional negligence action.
    (2) Failure to comply with these requirements may provide a basis 
for denial of a claim, in full or in part.
    (e) Damages not payable. The following damages are not payable in 
any claim arising under the Military Claims Act:
    (1) Punitive or exemplary damages, including damages punitive in 
nature under 28 U.S.C. 2674.
    (2) Interest on any claim settlement.



Sec. 536.30  Structured settlements.

    (a) The use of the structured settlement device by approval and 
settlement authorities is encouraged in all appropriate cases. A 
structured settlement should not be used when contrary to the desires of 
the claimant.
    (b) Notwithstanding the above, the Commander, USARCS may require or 
recommend to higher authority that an acceptable structured settlement 
be made a condition of award notwithstanding objection by the claimant 
or his or her representative where--
    (1) Necessary to ensure adequate and secure care and compensation to 
a minor or otherwise incompetent claimant over a period of years;
    (2) Where a trust device is necessary to ensure the long-term 
availability of funds for anticipated further medical care;
    (3) Where the injured party's life expectancy cannot be reasonably 
determined.



Sec. 536.31  Claims over $100,000.

    Claims cognizable under 10 U.S.C. 2733 and Sec. Sec. 536.20 through 
536.35, which are meritorious in amounts in excess of $100,000, will be 
forwarded to the Commander, USARCS who will negotiate a settlement 
subject to approval by the Secretary of the Army or designee, or require 
the claimant to state the lowest amount that will be acceptable and 
provide appropriate justification. Tender of a final offer by the 
Commander, USARCS constitutes an action subject to appeal. The 
Commander, USARCS will prepare a memorandum of law with recommendations 
and forward the claim to the Secretary of the Army, or designee, for 
final action. The Secretary or designee will either disapprove the claim 
or approve it in whole or in part.



Sec. 536.32  Settlement procedures.

    (a) Procedures. Approval and settlement authorities will follow the 
procedures set forth in Sec. Sec. 536.1 through 536.13 in paying, 
denying or making final offers on claims. A copy of the notification 
will be forwarded to Commander, USARCS. The settlement authority will 
notify the claimant by certified mail (return receipt registered) of a 
denial or final action and the reason therefore. The letter of 
notification will inform the claimant of the following:
    (1) He or she may appeal, and that no form is prescribed for the 
appeal.
    (2) The title of the authority who will act on the appeal and that 
the appeal will be addressed to the settlement authority who last acted 
on the claim.
    (3) The claimant must fully set forth the grounds for appeal, or 
state that he or she appeals on the basis of the record as it exists at 
the time of denial or final offer.
    (4) The appeal must be postmarked not later than 60 days after 
receipt of notice of action on the claim. If the 60th day falls on a day 
on which the post office is closed, the next day on which it is open for 
business will be considered the final day of the appeal period. The 60 
day appeal period starts on the day following claimant's receipt of the 
letter from the settlement authority informing the claimant of the 
action taken and of the appellant rights. For good cause shown, the 
Commander, USARCS, or designee, or the chief of a command claims service 
(if the appellate authority), may extend the time for appeal, but 
normally such extension will not exceed 90 days.
    (5) Where a claim for the same injury has been filed under the FTCA 
and the denial or final offer applies equally to such claim, the letter 
of notification must advise the claimant that any suit

[[Page 232]]

brought as to any portion of the claim under the FTCA must be brought 
not later than 6 months from the date of mailing of the notice of denial 
or final offer. Further, the claimant must be advised that if suit is 
brought, action on any appeal will be held in abeyance pending final 
determination of such suit.
    (b) Action on appeal. (1) The appeal will be examined by the 
settlement authority who last acted on the claim, or his or her 
successor, to determine if the appeal complies with the requirements of 
this section. The settlement authority will also examine the claims 
investigative file and decide whether additional investigation is 
required; ensure all allegations or evidence presented by the claimant, 
agent or attorney are documented in the file; and that all pertinent 
evidence is included in the file. If the claimant states that he or she 
appeals but does not submit supporting materials within the 60 day 
appeal period or an approved extension thereof, the appeal will be 
treated as being on the record as it existed at the time of denial or 
final offer. Unless action under paragraph (b)(2) of this section is 
taken; the claim with complete investigative file including any 
additional investigation required and a memorandum of opinion will be 
forwarded to the appropriate appellate authority for necessary action on 
the appeal.
    (2) If the evidence in the file, including information submitted by 
the claimant with the appeal and any necessary additional investigation, 
indicates that the appeal should be granted, in whole or in part, the 
settlement authority who last acted on the claim or his or her successor 
will attempt to settle the claim. If settlement cannot be reached, the 
appeal will be forwarded in accordance with paragraph (b)(1) of this 
section.
    (3) As to an appeal that requires action by TJAG, The Assistant 
Judge Advocate General (TAJAG), or the Secretary of the Army, or 
designee, the Commander, USARCS may take the action in paragraph (b)(2) 
of this section or forward the claim together with a recommendation for 
action. All matters submitted by the claimant will be forwarded and 
considered.
    (4) Since an appeal under this authority is not an adversary 
proceeding, no form of hearing is authorized. A request by the claimant 
for access to documentary evidence in the claims file to be used in 
considering the appeal should be granted unless access is not permitted 
by law or regulation.



Sec. 536.33  Attorney fees.

    In the settlement of any claim under Sec. Sec. 536.20 through 
536.35, attorney fees shall not exceed 20 percent of the final cost to 
the United States of the award.



Sec. 536.34  Payment of costs, settlements, and judgments related to 
certain medical and legal malpractice claims.

    (a) Costs, settlements, or judgments cognizable under 10 U.S.C. 
1089(f) for personal injury or death caused by any physician, dentist, 
nurse, pharmacist, or paramedical, or other supporting personnel 
(including medical and dental technicians, nurse assistants, and 
therapists) of DA should be forwarded to Commander, USARCS, for action 
and will be paid, provided:
    (1) The alleged negligent or wrongful actions or omissions arose in 
performance of medical, dental or related health care functions 
(including clinical studies and investigations) within the scope of 
employment; and
    (2) Such personnel provide prompt notification and delivery of all 
process served or received, provide such other documents, information, 
and assistance as requested, and cooperate in the defense of the action 
on the merits. (See DoD Directive 6000.6.)
    (b) Costs, settlements, and judgments cognizable under 10 U.S.C. 
1054(f) for damages for injury of loss of property caused by any 
attorney, paralegal, or other member of a legal staff within the DA 
should be forwarded to Commander, USARCS, for action and will be paid, 
provided:
    (1) The alleged negligent or wrongful actions or omissions arose in 
connection with providing legal services while acting within the scope 
of the person's duties or employment, and
    (2) Such personnel provide prompt notification and delivery of all 
process served or received, provide such other documents, information 
and assistance

[[Page 233]]

as requested, and cooperate in the defense of the action on the merits. 
(See DoD Directive 6000.6.)



Sec. 536.40  Claims under Article 139, Uniform Code of Military Justice.

    (a) Statutory authority. The authority for this section is Article 
139, Uniform Code of Military Justice (10 U.S.C. 939) which provides for 
redress of damage to property willfully damaged or destroyed, or 
wrongfully taken, by members of the armed forces of the United States.
    (b) Purpose. This section sets forth the standards to be applied and 
the procedures to be followed in the processing of claims for damage, 
loss or destruction of property owned by or in the lawful possession of 
an individual, whether civilian or military, a business, a charity, or a 
State or local government, where the property was wrongfully taken or 
willfully damaged by military members of DA. Claims cognizable under 
other claims statutes may be processed under this section.
    (c) Effect of disciplinary action. Administrative action under 
Article 139 and this section is entirely separate and distinct from 
disciplinary action taken under other articles of the UCMJ or other 
administrative actions. Because action under Article 139 and this 
section requires independent findings on issues other than guilt or 
innocence, the mere fact that a soldier was convicted or acquitted of 
charges is not dispositive of a claim under Article 139.
    (d) Claims cognizable. Claims cognizable under Article 139, UCMJ are 
limited to--
    (1) Claims for property willfully damaged. Willful damage is damage 
which is inflicted intentionally, knowingly, and purposefully without 
justifiable excuse, as distinguished from damage caused inadvertently or 
thoughtlessly through simple or gross negligence. Damage, loss, or 
destruction of property caused by riotous, violent, or disorderly acts, 
or by acts of depredation, or through conduct showing reckless or wanton 
disregard of the property rights of others may be considered willful 
damage.
    (2) Claims for property wrongfully taken. A wrongful taking is any 
unauthorized taking or withholding of property, not involving the breach 
of a fiduciary or contractual relationship, with the intent to 
temporarily or permanently deprive the owner or person lawfully in 
possession of the property. Damage, loss, or destruction of property 
through larceny, forgery, embezzlement, fraud, misappropriation, or 
similar offense may be considered wrongful taking.
    (e) Claims not cognizable. Claims not cognizable under this section 
and Article 139 include--
    (1) Claims resulting from negligent acts.
    (2) Claims for personal injury or death.
    (3) Claims resulting from acts or omissions of military personnel 
acting within the scope of their employment.
    (4) Claims resulting from the conduct of reserve component personnel 
who are not subject to the UCMJ at the time of the offense.
    (5) Subrogated claims, including claims by insurers.
    (f) Limitations on assessments--(1) Time Limitations. To be 
considered, a claim must be submitted within 90 days of the incident out 
of which the claim arose, unless the special court-martial convening 
authority (SPCMCA) acting on the claim determines that good cause has 
been shown for the delay.
    (2) Limitations on amount. No soldier's pay may be assessed more 
than $5,000 on a single claim without the approval of the Commander, 
USARCS, or designee. If the commander acting on the claim determines 
that an assessment against a soldier in excess of $5,000 is meritorious, 
he or she will assess the pay of that soldier in the amount of $5,000 
and forward the claim to the Commander, USARCS, with his or her 
recommendation as to the additional amount which should be assessed.
    (3) Direct damages. Assessments are limited to direct damages for 
the loss of or damage to property. Indirect, remote, or consequential 
damages may not be considered under this section.
    (g) Procedure. Area claims offices and claims processing offices 
with approval authority are responsible for publicizing the Article 139 
program and maintaining a log for Article 139 claims presented in their 
areas (see

[[Page 234]]

Personnel Claims Adjudication appendix G, Claims Manual). Area claims 
offices and claims processing offices with approval authority are 
required to monitor action taken on Article 139 claims and ensure that 
time requirements are met. If assessment action on a particular claim 
will be unduly delayed, the office may consider the claim under 31 
U.S.C. 3721 and chapter 11 of this regulation if it is otherwise 
cognizable under the authority. The office will counsel the claimant to 
repay any overpayment if the Article 139 claim is later successful (see 
para 11-2e).
    (1) Form of a claim and presentment. A claim must be presented by 
the claimant or his or her authorized agent orally or in writing. The 
claim must be reduced to writing, signed, and for a definite sum in U.S. 
dollars within 10 days after oral presentment.
    (2) Action upon receipt of a claim. Any officer receiving a claim 
will forward it within 2 working days to the SPCMCA over the soldier or 
soldiers against whom the claim is made. If the claim is made against 
soldiers under the jurisdiction of more than one such convening 
authority who are under the same general court-martial convening 
authority, the claim will be forwarded to that general court-martial 
convening authority, who will designate one SPCMCA to investigate and 
act on the claim as to all soldiers involved. If the claim is made 
against soldiers under the jurisdiction of more than one SPCMCA at 
different locations and not under the same general court-martial 
convening authority, the claim will be forwarded to the SPCMCA whose 
headquarters is closest to the situs of the incident, who will 
investigate and act on the claim as to all soldiers involved. If a claim 
is made against a member of one of the other military Services, the 
claim will be forwarded to the commander of the nearest major Army 
command (MACOM) of that Service.
    (3) Action by the SPCMCA. Within 4 working days of receipt of a 
claim, the SPCMCA will appoint an investigating officer to investigate 
the claim, using the procedures of this section supplemented by the 
procedures of AR 15-6. The claims officer of a command, if he or she is 
a commissioned officer, may be appointed as the investigating officer.
    (4) Action by the investigating officer. The investigating officer 
will provide notification to the soldier against whom the claim is made.
    (i) If the soldier indicates a desire to make voluntary restitution, 
the investigating officer may, with the convening authority's 
concurrence, delay proceedings until the end of the next pay period to 
accomplish this. If the soldier makes payment to the claimant's full 
satisfaction, the claim will be dismissed.
    (ii) In the absence of full restitution, the investigating officer 
will determine whether the claim is cognizable and meritorious under the 
provisions of Article 139 and this chapter and the amount to be assessed 
each offender. This amount will be reduced by any restitution accepted 
by the claimant from an offender in partial satisfaction. Within 10 
working days or such time as the SPCMCA may provide, the investigating 
officer will make findings and recommendations and submit these to the 
SPCMCA. The investigating officer will also provide a copy of his or her 
findings and recommendations to any soldier against whom an assessment 
is recommended.
    (iii) If the soldier is absent without leave so that he or she 
cannot be provided with notification, the Article 139 claim may be 
processed in the soldier's absence. If an assessment is approved, a copy 
of the claim and SPCMCA approval will be forwarded by transmittal letter 
to the servicing finance and accounting office (FAO) for offset input 
against the soldier's pay account. In the event the soldier is dropped 
from the rolls, the servicing FAO will forward the assessment documents 
to Commander, U.S. Army Finance and Accounting Center, attn: Department 
40, Indianapolis, Indiana 46249.
    (5) Legal review. After completion of the investigating officer's 
report, the SPCMCA will refer the claim to the area claims office or 
claims processing office servicing his or her command to review for 
legal sufficiency and advice. That office will furnish within 5 working 
days or such time as the SPCMCA will provide a written opinion as to--

[[Page 235]]

    (i) Whether the claim is cognizable under the provisions of Article 
139 and this chapter.
    (ii) Whether the findings and recommendations are supported by 
evidence.
    (iii) Whether there has been substantial compliance with the 
procedural requirements of Article 139, this chapter, and AR 15-6.
    (6) Final action. After considering the advice of the claims office, 
the SPCMCA will disapprove the claim or approve the claim in an amount 
equal to or less than the amount recommended by the investigating 
officer. The SPCMCA will notify the claimant, and any soldier subject to 
his or her jurisdiction, of the determination and the right to request 
reconsideration. The SPCMCA will then suspend action on the claim for 10 
working days pending receipt of a request for reconsideration unless he 
or she determines that this delay will result in substantial injustice. 
The SPCMCA will direct the servicing finance officer for the soldier or 
soldiers against whom assessments are approved to withhold such amount 
from the soldier or soldiers up to $5000. For any soldier not subject to 
the SPCMCA's jurisdiction, the SPCMCA will forward the claim to that 
commander who does exercise special court-martial jurisdiction over the 
soldier for collection action.
    (7) Assessment. Subject to any limitations provided in appropriate 
regulations, the servicing finance officer will withhold the amount 
directed by the SPCMCA and pay it to the claimant. The SPCMCA's 
assessment is not subject to appeal and is conclusive on any finance 
officer. If the servicing finance officer finds that the required amount 
cannot be withheld because he or she does not have custody of the 
soldier's pay record or because the soldier is in a no pay due status, 
the servicing finance officer will promptly notify the SPCMCA of this in 
writing.
    (8) Post settlement action. After action on the claim is completed, 
the claims office servicing the command which took final action will 
forward one copy of the claim together with a cover sheet and all 
attachments, to include information that money has or has not been 
withheld and paid to the claimant by the servicing finance officer, 
through any command claims service, to the Commander, USARCS.
    (9) Remission of indebtedness. Title 10, United States Code, section 
4837(d), which authorizes the remission and cancellation of indebtedness 
of an enlisted person to the United States or its instrumentalities, is 
not applicable and may not be used to remit and cancel indebtedness 
determined as a result of action under Article 139.
    (h) Reconsideration--(1) General. Although Article 139 does not 
provide for a right of appeal, either the claimant or a soldier whose 
pay is assessed may request the SPCMCA or a successor in command to 
reconsider the action. A request for reconsideration will be submitted 
in writing and will clearly state the factual or legal basis for the 
relief requested. The SPCMCA may direct that the matter be 
reinvestigated.
    (2) Reconsideration by the original SPCMCA. The original SPCMCA may 
reconsider the action so long as he occupies that position, regardless 
of whether a soldier whose pay was assessed has been transferred. If the 
original SPCMCA determines that the action was incorrect, he or she may 
modify it subject to paragraph (h)(4) of this section. If a request for 
reconsideration is submitted more than 15 days after notification was 
provided, however, the SPCMCA should only modify the action on the basis 
of fraud, substantial new evidence, errors in calculation, or mistake of 
law.
    (3) Reconsideration by a successor in command. Subject to paragraph 
(h)(4) of this section, a successor in command may only modify an action 
on the basis of fraud, substantial new evidence, errors in calculation 
or mistake of law apparent on the face of the record.
    (4) Legal review and action. Prior to modifying the original action, 
the SPCMCA will have the claims office render a legal opinion and fully 
explain his or her basis for modification as part of the file. If a 
return of assessed pay is deemed appropriate, the SPCMCA should request 
the claimant to return the money, setting forth the basis for the 
request. There is no authority for repayment from appropriated funds.
    (5) Disposition of files. After completing action on 
reconsideration, the

[[Page 236]]

SPCMCA will forward a copy of the reconsideration action to the 
Commander, USARCS, and retain one or more additional copies with the 
claim file.



Sec. 536.50  Claims based on negligence of military personnel or civilian 
employees under the Federal Tort Claims Act.

    (a) Authority. The statutory authority for this chapter is the FTCA 
(60 Stat. 842, 28 U.S.C. 2671-2680), as amended by the Act of 18 July 
1966 (Pub. L. 89-506; 80 Stat. 306), the Act of 16 March 1974 (Pub. L. 
93-253; 88 Stat. 50), and the Act of 29 December 1981 (Pub. L. 97-124), 
and as implemented by the Attorney General's Regulations (28 CFR 14.1-
14.11).
    (b) Scope. This section prescribes the substantive basis and special 
procedural requirements for the administrative settlement of claims 
against the United States under the FTCA and the implementing Attorney 
General's Regulations based on death, personal injury, or damage to or 
loss of property which accrue on or after 18 January 1967. If a conflict 
exists between the provisions of this section and the provisions of the 
Attorney General's Regulations, the latter govern.
    (c) Claims payable. Unless otherwise prescribed, claims for death, 
personal injury, or damage to or loss of property (real or personal) are 
payable under this section when the injury or damage is caused by 
negligent or wrongful acts or omissions of military personnel or 
civilian employees of the DA or the DoD while acting within the scope of 
their employment under circumstances in which the United States, if a 
private person, would be liable to the claimant in accordance with the 
law of the place where the act or omission occurred. The FTCA is a 
limited consent to liability without which the United States is immune. 
Similarly, there is no Federal cause of action created by the 
Constitution which would permit a damage recovery because of the Fifth 
Amendment or any other constitutional provision. Immunity must be 
expressly waived, as by the FTCA.
    (d) ``Employee of the Government'' (28 U.S.C. 2671) includes the 
following categories of tortfeasors for which the DA is responsible:
    (1) Military personnel (members of the Army), including but not 
limited to:
    (i) Members on full-time active duty in a pay status, including--
    (A) Members assigned to units performing active service.
    (B) Members serving as ROTC instructors. (Does not include Junior 
ROTC instructors unless on active duty.)
    (C) Members serving as National Guard instructors or advisors.
    (D) Members on duty or in training with other Federal agencies, for 
example, Nuclear Regulatory Commission, National Aeronautics and Space 
Administration, Departments of Defense, State, Navy, or Air Force.
    (E) Members assigned as students or ordered into training at a non-
Federal civilian educational institution, hospital, factory, or other 
industry. This does not include members on excess leave.
    (F) Members on full-time duty at nonappropriated fund activities.
    (G) Members of the ARNG of the United States on active duty.
    (ii) Members of reserve units during periods of inactive duty 
training and active duty training, including ROTC cadets who are 
reservists while they are at summer camp.
    (iii) Members of the ARNG while engaged in training or duty under 32 
U.S.C. 316, 502, 503, 504, or 505 for claims arising on or after 29 
December 1981.
    (2) Civilian officials and employees of both the DOD and the DA 
(there is no practical significance to the distinction between the terms 
``official'' and ``employee'') including but not limited to--
    (i) Civil Service and other full-time employees of both DOD and DA 
paid from appropriated funds.
    (ii) Contract surgeons (10 U.S.C. 1091, 4022) and consultants (10 
U.S.C. 1091) where ``control'' is exercised over physician's day to day 
practice.
    (iii) Employees of nonappropriated funds if the particular fund is 
an instrumentality of the United States and thus a Federal agency. In 
determining whether or not a particular fund is a ``Federal agency,'' 
consider whether

[[Page 237]]

the fund is an integral part of the DA charged with an essential DA 
operational function and the degree of control and supervision exercised 
by DA personnel. Members or users, as distinguished from employees of 
nonappropriated funds, are not considered Government employees. The same 
is true of family child care providers. However, claims arising out of 
the use of certain nonappropriated fund property or the acts or 
omissions of family child care providers, may be payable from such funds 
under chapter 12, AR 27-20, as a matter of policy, even when the user is 
not within the scope of employment and the claim is not otherwise 
cognizable under any other claims authorization.
    (iv) Prisoners of war and interned enemy aliens.
    (v) Civilian employees of the District of Columbia National Guard, 
including those paid under ``service contracts'' from District of 
Columbia funds.
    (vi) Civilians serving as ROTC instructors paid from Federal funds.
    (vii) National Guard technicians employed under 32 U.S.C. 709(a) for 
claims accruing on or after 1 January 1969 (Pub. L. 90-486, 13 August 
1968; 82 Stat. 755).
    (3) Persons acting in an official capacity for the DOD or the DA 
whether temporarily or permanently in the service of the United States 
with or without compensation including but not limited to--
    (i) ``Dollar a year'' personnel.
    (ii) Members of advisory committees, commissions, boards or the 
like.
    (iii) Volunteer workers in an official capacity acting in 
furtherance of the business of the United States. The general rule with 
respect to volunteers is set forth in 31 U.S.C. 665(b), which provides 
that, ``No officer or employee of the United States shall accept 
voluntary service for the United States or employ personal service in 
excess of that authorized by law, except in cases of emergency involving 
the safety of human life or the protection of property.'' (5 U.S.C. 
3111(c) specifically provides that student volunteers employed 
thereunder shall be considered Federal employees for purposes of claims 
under the FTCA. The same classification is applied by 10 U.S.C. 1588 to 
museum and family support program volunteers.) The DA is permitted to 
accept and use certain volunteer services in Army family support 
programs. (10 U.S.C. 1588).
    (iv) Loaned servants. Employees who are permitted to serve another 
employer may be considered ``loaned servants,'' provided the borrowing 
employer has the power to discharge the employee, to control and direct 
the employee, and to decide how he will perform his tasks. Whoever has 
retained those powers is liable for the employee's torts under the 
principle of respondeat superior. Where those elements of direction and 
control have been found, the United States has been liable, for example, 
for the torts of Government employees loaned for medical training and 
emergency assistance, and county and state employees discharging Federal 
programs.
    (e) ``Scope of employment'' means acting in ``line of [military] 
duty'' (28 U.S.C. 2671) and is determined in accordance with principles 
of respondeat superior under the law of the jurisdiction in which the 
act or omission occurred. Determination as to whether a person is within 
a category listed in paragraph (d)(3) of this section will usually be 
made together with the scope determination. Local law should always be 
researched, but the novel aspects of the military relationship should be 
kept in mind in making a scope determination.
    (f) ``Line of duty'' determinations under AR 600-8-1 are not 
determinative of scope of employment. ``Joint venture'' situations are 
likely to be frequent where the Federal employee is performing federally 
assigned duties but is under actual direction and control of a non-
Federal entity, for example, a Federal employee in training at a non-
Federal entity or ROTC instructors at civilian institutions. This could 
also occur where the employee is working for another Federal agency. 
Furthermore, dual purpose situations are commonplace where benefits to 
the Government and the member or employee may or may not be concurrent, 
for example, use of privately owned vehicles at or away from assigned 
duty station, or permanent change of station with delay en route. (See 
Sec. Sec. 536.90

[[Page 238]]

through 536.97 for the handling of certain claims arising out of 
nonscope activities of members of the Army.)
    (g) Law applicable. The whole law of the place where the act or 
omission occurred, including choice of law rules, will be applied in the 
determination of liability and quantum. Where there is a conflict 
between the local law and an express provision of the FTCA, the latter 
governs.
    (h) Subrogation. Claims involving subrogation will be processed as 
prescribed in Sec. 536.5(b), except where inconsistent with the 
provisions of this section or the Attorney General's regulations.
    (i) Indemnity or contribution--(1) Sought by the United States. If 
the claim arises under circumstances in which the Government is entitled 
to contribution or indemnity under a contract of insurance or the 
applicable law governing joint tortfeasors, the third party will be 
notified of the claim, and will be requested to honor its obligation to 
the United States or to accept its share of joint liability. If the 
issue of indemnity or contribution is not satisfactorily adjusted, the 
claim will be compromised or settled only after consultation with the 
Department of Justice as provided in 28 CFR 14.6.
    (2) Claims for indemnity or contribution. Claims for indemnity or 
contribution from the United States will be compromised or settled under 
this section, if liability exists under the applicable law, provided the 
incident giving rise to such claim is otherwise cognizable under this 
section. As to such claims where the exclusivity of the FECA may be 
applicable, see 5 U.S.C. 8101-8150.
    (3) ARNG vehicular claims. When a vehicle used by the ARNG, or a 
privately owned vehicle operated by a member or employee of the ARNG, is 
involved in an incident under circumstances which make this section 
applicable to the disposition of administrative claims against the 
United States and results in personal injury, death, or property damage, 
and a remedy against the State or its insurer is indicated, the 
responsible area claims authority will monitor the action against the 
State or its insurer and encourage direct settlement between the 
claimant and the State or its insurer. Where the State is insured, 
direct contact with State or ARNG officials rather than the insurer is 
desirable. Regular procedures will be established and followed wherever 
possible. Such procedures should be agreed on by both local authorities 
and the appropriate claims authorities subject to concurrence by 
Commander, USARCS. Such procedures will be designed to ensure that local 
authorities and United States authorities do not issue conflicting 
instructions for processing claims and that whenever possible and in 
accordance with governing local and Federal law, a mutual arrangement 
for disposition of such claims as in paragraph (i)(4) of this section is 
worked out. Amounts recovered or recoverable by claimant from any 
insurer (other than claimant's insurer who has obtained no subrogated 
interest against the United States) will be deducted from the amount 
otherwise payable.
    (4) Claims arising out of training activities of ARNG personnel. 
Contribution may be sought from the state involved where it has waived 
sovereign immunity or has private insurance which would cover the 
incident giving rise to the particular claim. Where the state involved 
rejects the request for contribution, the file will be forwarded to the 
Commander, USARCS. The Commander, USARCS, is authorized to enter into an 
agreement with a State, territory, or commonwealth to share settlement 
costs of claims generated by the ARNG personnel or activities of that 
political entity.
    (j) Claims not payable. The exclusions contained in 28 U.S.C. 2680 
are applicable to claims herein. Other types of claims are excluded by 
statute or court decisions, including, but not limited to, the 
following:
    (1) Claims for the personal injury or death of a member of the Armed 
Forces of the United States incurred incident to service, or for damage 
to a member's property incurred incident to service. Feres v. United 
States, 340 U.S. 135 (1950). Currently the most significant 
justification for the incident to service doctrine is the availability 
of alternative compensation systems, and the fear of disrupting the 
military command relationship. Other supportive factors often cited by 
the courts are

[[Page 239]]

the service member's duty status, location, and receipt of military 
benefits at the time of the incident.
    (i) The exception applies to members of the Army, Navy, Air Force, 
Marine Corps, and Coast Guard, including the Reserve Components of the 
Armed Forces. (See 10 U.S.C. 261.) The exception also applies to service 
members on the Temporary Disability Retired List, and on convalescent 
leave, to service academy cadets, to members of visiting forces in the 
United States under the SOFA between the parties to the North Atlantic 
Treaty Organization or similar international agreements, and to service 
members on the extended enlistment program.
    (ii) The incident to service doctrine has been extended to 
derivative claims where the directly injured party is a service member. 
Third party indemnity claims are barred.
    (2) Claims for the personal injury or death of a Government employee 
for whom benefits are provided by the Federal Employees Compensation Act 
(5 U.S.C. 8101-8150). Who is a government employee under the Act is 
defined in the Act itself (5 U.S.C. 8101), but is not limited to Federal 
Civil Service employees. The term ``government employee'' can include 
certain ROTC cadets (5 U.S.C. 8140) and state or local law enforcement 
officers engaged in apprehending a person for committing a crime against 
the United States (5 U.S.C. 8191), certain nurses, interns or other 
health care personnel, e.g., student nurses, etc. (5 U.S.C. 5351, 8144) 
and certain Army Community Service Volunteers (10 U.S.C. 1588). This Act 
provides that benefits paid under the Act are exclusive and instead of 
all other liability of the United States, including that under a Federal 
tort liability statute (5 U.S.C. 8116(c)). It extends to derivative 
claims, to subsequent malpractice for treatment of a covered injury, to 
injuries for which there is no scheduled compensation, and to employee 
harassment claims for which other remedies are available (42 U.S.C. 
2000e). The exception does not bar third party indemnity claims. When 
there is doubt as to whether or not this exception applies, the claim 
should be forwarded through claims channels to the Commander, USARCS, 
for an opinion.
    (3) Claims for the personal injury or death of an employee, 
including nonappropriated fund employees, for whom benefits are provided 
by the Longshoremen's and Harbor Workers' Compensation Act (33 U.S.C. 
901-950). An employee of a nonappropriated fund instrumentality is 
covered by that Act (5 U.S.C. 8171). This is the exclusive remedy for 
covered employees, similar to the exclusivity of the FECA.
    (4) Claims for the personal injury or death of any employee for whom 
benefits are provided under any workmen's compensation law, if the 
premiums of the workmen's compensation insurance are retrospectively 
rated and charged as an allowable, allocable expense to a cost-type 
contract. If, in the opinion of an approval or settlement authority, the 
claim should be considered payable, for example, the injuries did not 
result from a normal risk of employment or adequate compensation is not 
payable under workmen's compensation laws, the file will be forwarded 
with recommendations through claims channels to the Commander, USARCS, 
who may authorize payment of an appropriate award.
    (5) Claims for damage from or by flood or flood waters at any place. 
33 U.S.C. 702c. This exception is broadly construed and includes multi-
purpose projects and all phases of construction and operation.
    (6) Claims based solely upon a theory of absolute liability or 
liability without fault. Either a ``negligent'' or ``wrongful'' act is 
required by the FTCA, and some type of malfeasance or nonfeasance is 
required. Dalehite v. United States, 346 U.S. 15 (1953); Laird v. Nelms, 
406 U.S. 797 (1972). Thus, liability does not arise by virtue either of 
United States ownership of an inherently dangerous commodity or of 
engaging in extra-hazardous activity.
    (k) Procedures--(1) General. Unless inconsistent with the provisions 
of this section, the procedures for the investigation and processing of 
claims set forth in Sec. Sec. 536.1 through 536.13 will be followed.
    (2) Claims arising out of tortious conduct by ARNG personnel as 
defined in paragraph (d)(1)(iii) of this section--(i)

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Notification. The procedures prescribed in Sec. 536.75, will be 
followed in ARNG claims arising under the FTCA.
    (ii) Claims against the U.S. Government received by agencies of the 
State. These claims will be expeditiously forwarded through the State 
adjutant general to the appropriate U.S. Army area claims office in 
whose geographic area the incident occurred.
    (3) Statute of Limitations. (i) To be settled under this section, a 
claim against the United States must be presented in writing to the 
appropriate Federal agency within 2 years of its accrual.
    (ii) For statute of limitations purposes, a claim will be deemed to 
have been presented when the appropriate Federal agency as defined in 
Sec. 536.3(m) receives from a claimant, his or her duly authorized 
agent, or legal representative an executed SF 95 or written notification 
of an incident, together with a claim for money damages, in a sum 
certain, for damage to or loss of property or personal injury or death. 
For Federal tort claims arising out of activities of the ARNG, receipt 
of a written claim by any fulltime officer or employee of the ARNG will 
be considered proper receipt.
    (iii) A claim received by an official of the DOD will be transmitted 
without delay to the nearest Army claims processing office or area 
claims office. Inquiries concerning applicability of the statute of 
limitations to claims filed with the wrong Federal agency will be 
referred to USARCS for resolution.
    (4) Claims within settlement authority of USARCS or the Attorney 
General. A copy of each claim which must be brought to the attention of 
the Attorney General in accordance with his or her regulations (28 CFR 
14.6), or one in which the demand exceeds $15,000 or the total amount of 
all claims, actual or potential, from a single incident exceeds $25,000, 
will be forwarded immediately to the Commander, USARCS. Subsequent 
documents should be forwarded or added in accordance with Sec. 
536.5(h)(2). USARCS is responsible for the monitoring and settlement of 
such claims and will be kept informed of the status of the investigation 
and processing thereof. Direct liaison and correspondence between USARCS 
and the field claims authority or investigator is authorized on all 
claims matters, and assistance will be furnished as required.
    (5) Non-Army claims. Claims based on acts or omissions of employees 
of the United States, other than military and civilian personnel of the 
DA, civilian personnel of the DOD, and employees of nonappropriated fund 
activities of the DA, will be transmitted forthwith to the nearest 
official of the employing agency, and the claimant will be advised of 
the referral.
    (6) Acknowledgment of claim. (i) The claimant and his or her 
attorney will be kept informed by personal contact, telephonic contact, 
or mail of the receipt of his or her claim and the status of the claim. 
Formal acknowledgment of the claim in writing is required only where the 
claim is likely to result in litigation or is presented in an amount 
exceeding $15,000. In this event, the letter of acknowledgment will 
state the date of receipt of the claim by the first agency of the Army 
receiving the claim.
    (ii) If it is reasonably clear to the office acknowledging receipt 
that a claim filed under the FTCA is not cognizable thereunder; for 
example, it is a maritime claim under Sec. 536.60, or it falls under 
Sec. Sec. 536.20 through 536.35 or Sec. Sec.  536.70 through 536.81, 
the acknowledgment will contain a statement advising the claimant of the 
statute under which his or her claim will be processed. If it is not 
clear which statute applies, a statement to that effect will be made, 
and the claimant will be promptly advised on his or her remedy when a 
decision is made. However, all potential maritime claims will be handled 
in accordance with Sec. 536.5(h)(5).
    (iii) When a claim has been amended as set forth in Sec. 
536.5(f)(4), the amendment will be acknowledged in all cases. 
Additionally, the claimant will be informed that the amendment 
constitutes a new claim insofar as concerns the 6 months in which the DA 
is granted the authority to make a final disposition under 28 U.S.C. 
2675(a) and the claimant's option thereunder will not accrue until 6 
months after the filing of the amendment.
    (iv) When a claim is improperly presented, is incomplete or 
otherwise does

[[Page 241]]

not meet the requirements set forth in Sec. 536.5(d), the claimant or 
his or her representative will be promptly informed in writing of the 
deficiencies and advised that a proper claim must be filed within the 2 
year statute of limitations.
    (7) Investigation. Claims cognizable under this section will be 
investigated and processed on a priority basis in order that settlement 
if indicated may be accomplished within the 6 months prescribed by 
statute.
    (8) Advice to claimant. (i) A full explanation of claims procedures 
and of the rights of the claimant will be made to the extent 
necessitated by the amount and nature of the claim.
    (ii) In a case where litigation is likely, or where this course of 
action is preferred by the claimant, and it appears to be a proper case 
for administrative settlement, the claimant will be advised as to the 
advantages of administrative settlement. If the claim is within the 
jurisdiction of a higher settlement authority, the claim will be 
discussed with such authority prior to the furnishing of such advice. 
The claimant should be familiarized with all aspects of administrative 
settlement procedures including the administrative channels through 
which his claim must be processed for approval. He or she may be advised 
that administrative processing can result in more expeditious 
processing, whereas litigation may take considerable time, particularly 
in jurisdictions with crowded dockets.
    (iii) If appropriate, he or she may be informed that a tentative 
settlement can be reached for any amount above $25,000, subject to 
approval by the Attorney General. He or she should be advised that 
administrative filing of the claim protects him under the statute of 
limitations for purpose of litigation; suit can be filed within 6 months 
after the date of mailing of notice of final denial by the DA, thus 
potentially allowing negotiations to continue indefinitely. An attorney 
representing a claimant should be advised of the limitations on fees for 
purposes of administrative settlement (20 percent) and litigation (25 
percent). The attorney may also be advised that there is no jury trial 
under the FTCA.
    (9) Notification to claimant of action on claim. (i) The filing of 
an administrative claim and its denial are prerequisite to filing suit. 
Any suit must be filed not later than 6 months after notification by 
certified or registered mail of the denial of the administrative claim. 
Failure of a settlement authority to take final action on a properly 
filed claim within 6 months may be treated by the claimant as a final 
denial for the purposes of filing suit. If the claimant has provided 
insufficient documentation to permit evaluation of the claim, written 
notice should be given to this effect. Since administrative settlements 
are a voluntary process, the preferred method of negotiating is to 
attempt to exchange information on an open basis.
    (ii) Upon final denial of a claim, or upon rejection by the claimant 
of a partial allowance, and further efforts to reach a settlement are 
not considered feasible (Sec. 536.5(h)(1)), the settlement authority 
will inform the claimant of the action on his claim by certified or 
registered mail. Notification will be made as set forth in Sec. 
536.11(b).
    (iii) If a claim has been presented to the DA and, also, to other 
Federal agencies, without any notification to the DA of this fact, final 
action taken by the DA prior to that of any other agency is conclusive 
on a claim presented to other agencies, unless another agency decides to 
take further action to settle the claim. Such agency may treat the 
matter as a reconsideration under 28 CFR 14.9(b), unless suit has been 
filed. The foregoing applies likewise to DA claims in which another 
Federal Agency has already taken final action.
    (iv) If, after final denial by another agency, a claim is filed with 
the DA, the new submission will not toll the 6 months limitation for 
filing suit, unless the DA treats the second submission as a request for 
reconsideration under paragraph (k)(9)(iv)(A) of this section.
    (A) Reconsideration. (1) While there is no appeal from the action of 
an approving or settlement authority under the FTCA and this section, an 
approving or settlement authority may reconsider a claim upon request of 
the claimant or someone acting in his behalf. Even in

[[Page 242]]

the absence of such a request, an approving or settlement authority may 
on his own initiative reconsider a claim. He may reconsider a claim 
which he previously disapproved in whole or in part (even where a 
settlement agreement has been executed) when it appears that his 
original action was incorrect in law or fact based on the evidence of 
record at the time of the action or subsequently received. If he 
determines that his original action was incorrect, he will modify the 
action and, if appropriate, make a supplemental payment. The basis for a 
change in action will be stated in a memorandum included in the file.
    (2) A successor approving or settlement authority may also 
reconsider the original action on a claim but only on the basis of 
fraud, substantial new evidence, errors in calculation or mistake 
(misinterpretation) of law.
    (3) A request for reconsideration must be submitted prior to the 
commencement of suit and prior to the expiration of the 6-month period 
provided in 28 U.S.C. 2401(b). Upon timely filing, the appropriate 
authority shall have 6 months from the date of filing in which to make a 
final disposition of the request, and the claimant's option under 28 
U.S.C. 2675(a) shall not accrue until 6 months after the filing of the 
request.
    (4) A request for reconsideration should indicate fully the legal or 
factual basis asserted as grounds for relief. Following completion of 
any investigation or other action deemed necessary for an informed 
disposition of the request, the approving or settlement authority will 
reconsider the claim and attempt to settle it by granting such relief as 
may appear warranted. When further settlement efforts appear 
unwarranted, the entire file with a memorandum of opinion will be 
referred through claims channels to the Commander, USARCS, and the 
claimant informed of such referral.
    (B) [Reserved]



Sec. 536.60  Maritime claims.

    (a) Statutory authority. Administrative settlement or compromise of 
admiralty and maritime claims in favor of and against the United States 
by the Secretary of the Army or his designee is authorized by the Army 
Maritime Claims Settlement Act (10 U.S.C. 4801-04, 4806, as amended).
    (b) Related statutes. The Army Maritime Claims Settlement Act is 
supplemented by the following statutes under which suits in admiralty 
may be brought: the Suits in Admiralty Act of 1920 (41 Stat. 525, 46 
U.S.C. 741-752); the Public Vessels Act of 1925 (43 Stat. 1112, 46 
U.S.C. 781-790); the Act of 1948 Extending the Admiralty and Maritime 
Jurisdiction (62 Stat. 496, 46 U.S.C. 740). Similar maritime claims 
settlement authority is exercised by the Department of the Navy under 10 
U.S.C. 7365, 7621-23 and by the Department of the Air Force under 10 
U.S.C. 9801-9804, 9806.
    (c) Scope. 10 U.S.C. 4802 provides for the settlement or compromise 
of claims for--
    (1) Damage caused by a vessel of, or in the service of, the DA or by 
other property under the jurisdiction of the DA;
    (2) Compensation for towage and salvage service, including contract 
salvage, rendered to a vessel of, or in the service of, the DA or to 
other property under the jurisdiction of the DA; or
    (3) Damage caused by a maritime tort committed by any agent or 
employee of the DA or by property under the jurisdiction of the DA.
    (d) Claims exceeding $500,000. Claims against the United States 
settled or compromised in a net amount exceeding $500,000 are not 
payable hereunder, but will be investigated and processed under this 
section, and, if approved by the Secretary of the Army, will be 
certified by him to Congress.
    (e) Claims not payable. A claim is not allowable under this section 
which:
    (1) Is for damage to, or loss or destruction of, property, or for 
personal injury or death, resulting directly or indirectly from action 
by the enemy, or by U.S. Armed Forces engaged in armed combat, or in 
immediate preparation for impending armed combat.
    (2) Is for personal injury or death of a member of the Armed Forces 
of the United States or a civilian employee incurred incident to his 
service.
    (3) Is for personal injury or death of a Government employee for 
whom benefits are provided by the FECA (5 U.S.C. 8101-8150).

[[Page 243]]

    (4) Is for personal injury or death of an employee, including 
nonappropriated fund employees, for whom benefits are provided by the 
Longshoremen's and Harbor Workers' Compensation Act (44 Stat. 1424, 33 
U.S.C. 901).
    (5) Has been made the subject of a suit by or against the United 
States, except as provided in subparagraph (h)(2) of this section.
    (6) Arises in a foreign country and was considered by the 
authorities of a foreign country and final action taken thereon under 
Article VIII of the NATO Status of Forces Agreement, Article XVIII of 
the Treaty of Mutual Cooperation and Security between the United States 
and Japan regarding facilities and areas and the Status of United States 
Armed Forces in Japan, or other similar treaty or agreement, if 
reasonable disposition was made of the claim.
    (f) Claims under other laws and regulations. (1) Claims of military 
personnel and civilian employees of the DOD and the Army, including 
military and civilian officers and crews of Army vessels, for damage to 
or loss of personal property occurring incident to their service will be 
processed under the provisions of the Military Personnel and Civilian 
Employees' Claims Act (31 U.S.C. 3721).
    (2) Claims which are within the scope of this section and also 
within the scope of the FCA (10 U.S.C. 2734) may be processed under that 
statute when specific authority to do so has been obtained from the 
Commander, USARCS. The request for such authority should be accompanied 
by a copy of the report of the incident by the Marine Casualty 
Investigating Officer, or other claims investigator.
    (g) Subrogation. (1) An assurer will be recognized as a claimant 
under this section to the extent that it has become subrogated by 
payment to, or on behalf of, its assured, pursuant to a contract of 
insurance in force at the time of the incident from which the claim 
arose. An assurer and its assured may file a claim either jointly or 
separately. Joint claims must be asserted in the names of, and must be 
signed by, or on behalf of, all parties; payment then will be made 
jointly. If separate claims are filed, payment to each party will be 
limited to the extent of such party's undisputed interest.
    (2) For the purpose of determining authority to settle or compromise 
a claim, the payable interests of an assurer (or assurers) and the 
assured represent merely separable interests, which interests in the 
aggregate must not exceed the amount authorized for administrative 
settlement or compromise.
    (3) The policies set forth in paragraphs (g) (1) and (2) of this 
section with respect to subrogation arising from insurance contracts are 
applicable to all other types of subrogation.
    (h) Limitation of settlement. (1) The period for effecting an 
administrative settlement under the Army Maritime Claims Settlement Act 
is subject to the same limitation as that for beginning an action under 
the Suits in Admiralty Act; that is, a 2-year period from the date of 
the origin of the cause of action. The claimant must have agreed to 
accept the settlement, and it must be approved for payment by the 
Secretary of the Army or his designee prior to the end of such period; 
otherwise, thereafter the cause of action ceases to exist, except under 
the circumstances set forth in paragraph (h)(2) of this section. The 
presentation of a claim, or its consideration by the DA, neither waives 
nor extends the 2-year limitation period.
    (2) In the event that an action has been filed in a U.S. district 
court before the end of the 2-year statutory period, an administrative 
settlement may be negotiated by the Commander, USARCS, with the 
claimant, even though the 2-year period has elapsed since the cause of 
action accrued, provided the claimant obtains the written consent of the 
appropriate office of the Department of Justice charged with the defense 
of the complaint. Payment may be made upon dismissal of the complaint.
    (3) When a claim under this section, notice of damage, invitation to 
a damage survey, or other written notice of an intention to hold the 
United States liable is received, the receiving installation, office, or 
person immediately will forward such document to the Commander, USARCS. 
USARCS will

[[Page 244]]

promptly advise the claimant or potential claimant in writing of the 
comprehensive application of the time limit.
    (4) When a claim under this section for less than $10,000 is 
presented to a Corps of Engineers office and thus may be appropriate for 
action by the Corps of Engineers pursuant to the delegation of authority 
set forth in paragraph (i)(2) of this section, the receiving Corps of 
Engineers office will promptly advise the claimant in writing of the 
comprehensive application of the time limit (unless such has already 
been done by USARCS).
    (i) Delegation of authority. (1) Where the amount to be paid is not 
more than $10,000, claims under this section may be settled or 
compromised by the Commander, USARCS, chief of overseas command claims 
service, or his designee.
    (2) When a claim under this section arises from a civil works 
activity of the Corps of Engineers, engineer area claims offices are 
delegated authority to approve and pay in full, or in part, subject to 
the execution of an appropriate settlement agreement, claims presented 
for $10,000 or less, and compromise and pay claims regardless of the 
amount claimed, provided an award of $10,000 or less is accepted by the 
claimant in full satisfaction and final settlement of the claim, subject 
to such limitations as may be imposed by the Chief of Engineers. 
Meritorious claims arising from civil works activities of the Corps of 
Engineers will be paid from Corps of Engineers funds.



  Subpart C_Claims Arising From Activities of National Guard Personnel 
                    While Engaged in Duty or Training



Sec. 536.70  Statutory authority.

    The statutory authority for this chapter is contained in the Act of 
13 September 1960 (74 Stat. 878, 32 U.S.C. 715), commonly referred to as 
the National Guard Claims Act (NGCA), as amended by Public Law 90-486, 
13 August 1968 (82 Stat. 756), Public Law 90-525, 26 September 1968 (82 
Stat. 877), Public Law 91-312, 8 July 1970 (84 Stat. 412), and Public 
Law 93-336, 8 July 1974, (88 Stat. 291); and the Act of 8 September 1961 
(75 Stat. 488, 10 U.S.C. 2736) as amended by Public Law 90-521, 26 
September 1968 (82 Stat. 874), Public Law 97-124, 29 December 1981 (95 
Stat. 1666), and Public Law 98-564, 30 October 1984 (98 Stat. 2918).



Sec. 536.71  Definitions.

    For purposes of Sec. Sec. 536.70 to 536.81 the following 
terminology applies:
    (a) ARNG personnel. A member of the ARNG engaged in training or duty 
under 32 U.S.C. 316, 502, 503, 504, 505, or 709.
    (b) Claimant. An individual, partnership, association, corporation, 
country, State, Commonwealth, territory or a political subdivision 
thereof, or the District of Columbia, presenting a claim and meeting the 
conditions set forth in Sec. 536.5. The term does not include the U.S. 
Government, any of its instrumentalities, except as prescribed by 
statute, or a State, commonwealth, territory or the District of Columbia 
which maintains the unit to which the ARNG personnel causing the injury 
or damage are assigned. This exclusion does not ordinarily apply to a 
unit of local government which does not control the ARNG organization 
involved. As a general rule, a claim by a unit of local government other 
than a State, commonwealth or territory will be entertained unless the 
item claimed to be damaged or lost was procured or maintained by State, 
commonwealth, or territorial funds.



Sec. 536.72  Scope.

    (a) Sections 536.70 through 536.81 apply in all places and set forth 
the procedures to be followed in the settlement and payment of claims 
for death, personal injury, or damage to or loss or destruction of 
property caused by members or employees of the ARNG, or arising out of 
the noncombat activities of the ARNG when engaged in training or duty 
under 32 U.S.C. 316, 502, 503, 504, 505, or 709, provided such claim is 
not for personal injury or death of a member of the Armed Forces or 
Coast Guard, or a civilian officer or employee whose injury or death is 
incident to service.
    (b) A claimant dissatisfied with an administrative settlement under 
Sec. Sec. 536.70 through 536.81 as the result of

[[Page 245]]

activities of the ARNG of a State, Commonwealth, or territory is not 
entitled to judicial relief in an action against the United States. 
Whether he or she has a legal cause of action or may file an 
administrative claim against such a political entity depends upon 
controlling local law.
    (c) Claims arising out of activities of the ARNG when performing 
duties at the call of the governor of a State maintaining the unit are 
not cognizable under Sec. Sec. 536.70 through 536.81 or any other law, 
regulation or appropriation available to the Army for the payment of 
claims. Such claims should be returned or referred to the authorities of 
the State for whatever action they choose to take, and claimants should 
be informed of the return or referral. Care should be taken to determine 
the status of the unit and members at the time the claims incident 
occurred, particularly in civil emergencies as units called by the 
governor are sometimes ``federalized'' during the call-up. If the unit 
was ``federalized'' at the time the claim incident occurred, the claim 
will be cognizable under Sec. Sec. 536.20 through 536.35, 536.50, or 
536.90 through 536.97 or other sections pertaining to the Active Army.



Sec. 536.73  Claims payable.

    (a) Tort claims. All claims for personal injuries, death, or damage 
to or loss of real or personal property, arising out of incidents 
occurring on or after 29 December 1981, based on negligent or wrongful 
acts or omissions of ARNG personnel acting within the scope of 
employment, within the United States while engaged in training or duty 
under 32 U.S.C. 316, 502, 503, 504, 505, or 709 will be processed under 
the FTCA, Sec. 536.50. Such claims arising before 29 December 1981 
will, except as modified herein, be processed and settled in accordance 
with the provisions of Sec. Sec. 536.20 through 536.35.
    (b) Noncombat activities. A claim incident to the noncombat 
activities of the ARNG while engaged in duty or training under 32 U.S.C. 
316, 502, 503, 504, 505, or 709 may be settled under Sec. Sec. 536.70 
through 536.81. ``Noncombat activities'' are defined in Sec. 536.3.
    (c) Subrogated claims. Subrogated claims will be processed as 
prescribed in Sec. 536.5(b).
    (d) Advance payments. Advance payments in partial settlement of 
meritorious claims to alleviate immediate hardship are authorized as 
provided in Sec. 536.13.



Sec. 536.74  Claims not payable.

    The type of claims listed in Sec. 536.24 as not payable are also 
not payable under Sec. Sec. 536.70 through 536.81.



Sec. 536.75  Notification of incident.

    Except where claims are regularly paid from State sources, for 
example, insurance, court of claims, legislative committee, etc., the 
appropriate adjutant general will ensure that each incident which may 
give rise to a claim cognizable under Sec. Sec. 536.70 through 536.81 
is reported immediately by the most expeditious means to the area claims 
office in whose geographic area the incident occurs or to a claims 
processing office designated by the area claims office. The report will 
contain the following information:
    (a) Date of incident.
    (b) Place of incident.
    (c) Nature of incident.
    (d) Names and organizations of ARNG personnel involved.
    (e) Names of potential claimant(s).
    (f) A brief description of any damage, loss, or destruction of 
private property, and any injuries or death of potential claimants.



Sec. 536.76  Claims in which there is a State source of recovery.

    Where there is a remedy against the State, as a result of either 
waiver of sovereign immunity or where there is liability insurance 
coverage, the following procedures apply:
    (a) Where the State is insured, direct contact with State or ARNG 
officials rather than the insurer is desirable. Regular procedures will 
be established and followed wherever possible. Such procedures should be 
agreed on by both local authorities and the appropriate claims 
authorities subject to concurrence by the Commander, USARCS.

[[Page 246]]

Such procedures will be designed to ensure that local authorities and 
U.S. authorities do not issue conflicting instructions for processing 
claims, and whenever possible and in accordance with governing local and 
Federal law, a mutual arrangement for disposition of such claims as in 
paragraph (c) of this section is worked out. Amounts recovered or 
recoverable by claimant from any insurer (other than claimant's insurer 
who has obtained no subrogated interest against the United States) will 
be deducted from the amount otherwise payable.
    (b) If there is a remedy against the State or its insurer, the 
claimant may be advised of that remedy. If the payment by the State or 
its insurer does not fully compensate claimant, an additional payment 
may be made under Sec. Sec. 536.70 through 536.81. If liability is 
clear and claimant settles with the State or its insurer for less than 
the maximum amount recoverable, the difference between the maximum 
amount recoverable from the State or its insurer and the settlement 
normally will be also deducted from the payment by the United States.
    (c) If the State or its insurer desires to pay less than their 
maximum jurisdiction or policy limit on a basis of 50 percent or more of 
the actual value of the entire claim, any payment made by the United 
States must be made directly to the claimant. This can be accomplished 
by either having the United States pay the entire claim and have the 
State or its insurer reimburse its portion to the United States, or by 
having each party pay its agreed share directly to the claimant. If the 
State or its insurer desires to pay less than 50 percent of the actual 
value of the claim, the procedure set forth in paragraph (d) of this 
section will be followed.
    (d) If there is a remedy against the State and the State refuses to 
make payment, or there is insurance coverage and the claimant has filed 
an administrative claim against the United States, forward file with a 
memorandum of opinion to the Commander, USARCS, including information as 
to the status of any judicial or administrative action the claimant has 
taken against the State or its insurer. The Commander, USARCS, will 
determine whether the claimant will be required to exhaust his remedy 
against the State or its insurer, or whether the claim against the 
United States can be settled without such requirement. If the Commander, 
USARCS, determines to follow the latter course of action, he will also 
determine whether an assignment of the claim against the State or its 
insurer will be obtained and whether recovery action will be taken. The 
State or its insurer will be given appropriate notification in 
accordance with State law necessary to obtain contribution of 
indemnification.



Sec. 536.77  Claims against the ARNG tortfeasor individually.

    The procedures set forth in Sec. 536.9(f) are applicable. With 
respect to claims arising before 29 December 1981, an ARNG driver acting 
pursuant to the authorities cited in Sec. 536.73(a) is not protected by 
the provisions of the Drivers Act (28 U.S.C. 2670(b)) and the driver may 
be sued individually in State court. When this situation occurs, it 
should be monitored closely by ARNG authorities. If possible an early 
determination will be made as to whether any private insurance of the 
ARNG tortfeasor is applicable. Where such insurance is applicable and 
the claim against the United States is of doubtful validity, final 
actions will be withheld pending resolution of the demand against the 
ARNG tortfeasor. If, in the opinion of the claims approving or 
settlement authority, such insurance is applicable and the claim against 
the United States is payable in full or in a reduced amount, settlement 
efforts will be made either together with the insurer or singly by the 
United States. Any settlement will not include amounts recovered or 
recoverable as in Sec. 536.9. If the insurance is not applicable, 
settlement or disapproval action will proceed without further delay.



Sec. 536.78  When claim must be presented.

    A claim may be settled under Sec. Sec. 536.70 through 536.81 only 
if presented in writing within 2 years after it accrues, except that if 
it accrues in time of war or armed conflict, or if war or armed conflict 
intervenes within 2 years after it

[[Page 247]]

accrues, and if good cause is shown, the claim may be presented not 
later than 2 years after war or armed conflict is terminated. As used in 
this section, a war or armed conflict is one in which any Armed Force of 
the United States is engaged. The dates of commencement and termination 
of an armed conflict must be established by concurrent resolution of 
Congress or by determination of the President.



Sec. 536.79  Where claim must be presented.

    A claim must be presented to the appropriate Federal agency. Receipt 
of a written claim by any full time officer or employee of the National 
Guard will be considered receipt. However, the statute of limitations is 
tolled if a claim is filed with a State agency, the claim purports to be 
under the NGCA and it is forwarded to the Army within 6 months, or the 
claimant makes inquiry of the Army concerning the claim within 6 months. 
If a claim is received by a DA official who is not a claims approval or 
settlement authority, the claim will be transmitted without delay to the 
nearest approval or settlement authority.



Sec. 536.80  Procedures.

    (a) The form of a claim under Sec. Sec. 536.70 through 536.81 will 
be as described in Sec. 536.5 (d) and (e).
    (b) So far as they are not inconsistent with Sec. Sec. 536.70 
through 536.81, the guidance set forth in Sec. Sec. 536.10 through 
536.12 will be followed in processing a claim under Sec. Sec. 536.70 
through 536.81.
    (c) The following provisions are applicable to claims under 
Sec. Sec. 536.70 through 536.81 and are hereby incorporated by 
reference:
    (1) Sec. 536.28 (applicable law);
    (2) Sec. 536.29 (determination of quantum);
    (3) Sec. 536.31 (claims over $100,000);
    (4) Sec. 536.32 (settlement procedures);
    (5) Sec. 536.33 (attorney fees).



Sec. 536.81  Settlement agreement.

    Procedures concerning settlement agreements will be in accordance 
with Sec. 536.10, except that the agreement will be modified to include 
a State and its National Guard in most cases. A copy of the agreement 
will be furnished to State authorities and the individual tortfeasor.



   Subpart D_Claims Incident to Use of Government Vehicles and Other 
      Property of the United States Not Cognizable Under Other Law



Sec. 536.90  Statutory authority.

    The statutory authority for Sec. Sec. 536.90 through 536.97 is 
contained in the act of 9 October 1962 (76 Stat. 767, 10 U.S.C. 2737). 
This statute is commonly called the ``Nonscope Claims Act.'' For the 
purposes of Sec. Sec. 536.90 through 536.97, a Government installation 
is a facility having fixed boundaries owned or controlled by the 
Government, and a vehicle includes every description of carriage or 
other artificial contrivance used, or capable of being used, as a means 
of transportation on land (1 U.S.C. 4).



Sec. 536.91  Scope.

    (a) Sections 536.90 through 536.97 prescribe the substantive bases 
and special procedural requirements for the administrative settlement 
and payment, in an amount not more than $1,000, of any claim against the 
United States not cognizable under any other provision of law for damage 
to or loss of property, or for personal injury or death, caused by 
military personnel or civilian employees of the DA or by civilian 
employees of the DoD incident to the use of a United States vehicle at 
any place or incident to the use of other United States property on a 
Government installation.
    (b) Any claim in which there appears to be a disputed issue relating 
to whether the employee was acting within the scope of employment will 
be considered under Sec. Sec. 536.20 through 536.35, Sec.  536.50, or 
Sec. Sec. 536.70 through 536.81 as applicable. Only when all parties, 
to include an insurer, agree that there is no ``in scope'' issue will 
Sec. Sec. 536.90 through 536.97 be used.



Sec. 536.92  Claims payable.

    (a) General. A claim for personal injury, death, or damage to or 
loss of property, real or personal, is payable under Sec. Sec. 536.90 
through 536.97 when

[[Page 248]]

    (1) Caused by the act or omission, negligent, wrongful, or otherwise 
involving fault, of military personnel of the DA or the ARNG, or 
civilian employees of the DA or the ARNG--
    (i) Incident to the use of a vehicle of the United States at any 
place.
    (ii) Incident to the use of any other property of the United States 
on a Government installation.
    (2) The claim may not be settled under any other claims statute and 
claims regulation available to the DA for the administrative settlement 
of claims.
    (3) The claim has been determined to be meritorious, and the 
approval or settlement authority has obtained a settlement agreement in 
an amount not in excess of $1,000 in full satisfaction of the claim 
prior to approval of the claim for payment.
    (b) Personal injury or death. A claim for personal injury or death 
is allowable only for the cost of reasonable medical, hospital, or 
burial expenses actually incurred and not otherwise furnished or paid by 
the United States.
    (c) Property loss or damage. A claim for damage to or loss of 
property is allowable only for the cost of reasonable repairs or value 
at time of loss, whichever is less.



Sec. 536.93  Claims not payable.

    A claim is not allowable under Sec. Sec. 536.90 through 536.97 
that--
    (a) Results wholly or partly from the negligent or wrongful act of 
the claimant, his or her agent or employee. The doctrine of comparative 
negligence is not applicable.
    (b) Is for medical, hospital, and burial expenses furnished or paid 
by the United States.
    (c) Is for any element of damage pertaining to personal injuries or 
death other than provided in Sec. 536.92(b). All other items of damage, 
for example, compensation for loss of earnings and services, diminution 
of earning capacity, anticipated medical expenses, physical 
disfigurement, and pain and suffering, are not payable.
    (d) Is for loss of use of property or for the cost of a substitute 
property, for example, a rental.
    (e) Is legally recoverable by the claimant under an indemnifying law 
or indemnity contract. If the claim is legally recoverable in part, that 
part recoverable by the claimant is not payable.
    (f) Is a subrogated claim.



Sec. 536.94  When claim must be presented.

    A claim may be settled under Sec. Sec. 536.90 through 536.97 only 
if it is presented in writing within 2 years after it accrues.



Sec. 536.95  Procedures.

    So far as not inconsistent with Sec. Sec. 536.90 through 536.97, 
the procedures for the investigation and processing of claims contained 
in Sec. Sec. 536.1 through 536.13 will be followed.



Sec. 536.96  Settlement agreement.

    A claim may not be paid under Sec. Sec. 536.90 through 536.97 
unless the amount tendered is accepted by the claimant in full 
satisfaction. A settlement agreement (Sec. 536.10) is required before 
payment.



Sec. 536.97  Reconsideration.

    (a) An approval or settlement authority may reconsider the quantum 
of a claim upon request of the claimant or someone acting in his behalf. 
In the absence of such a request, an approval or settlement authority 
may on his own initiative reconsider the quantum of a claim. 
Reconsideration may occur even in a claim which was previously 
disapproved in whole or in part (even though a settlement agreement has 
been executed) when it appears that his or her original action was 
incorrect in law or fact based on the evidence of record at the time of 
the action or subsequently received. If he or she determines that the 
original action was incorrect, he or she will modify the action and, if 
appropriate, make a supplemental payment. If the original action is 
determined correct, the claimant will be so notified. The basis for 
either action will be stated in a memorandum included in the file.
    (b) An approval or settlement authority may reconsider the 
applicability of Sec. Sec. 536.90 through 536.97 to a claim upon 
request of the claimant or someone acting in his behalf, or on his own 
initiative. Such reconsideration may

[[Page 249]]

occur even though all parties had previously agreed per Sec. 536.91(b) 
when it appears that this agreement was incorrect in law or fact based 
on the evidence of record at the time of the agreement or subsequently 
received. If he or she determines the agreement to be incorrect, the 
claim will be reprocessed under the applicable sections of this 
regulation. If he or she determines the agreement to have been correct, 
that is, that Sec. Sec. 536.90 through 536.97 are applicable, he or she 
will so advise the claimant. This advice will include reference to any 
appeal or judicial remedies available under the section which the 
claimant alleges the claim should be processed under.
    (c) A successor or higher approval or settlement authority may also 
reconsider the original action on a claim as in paragraph (a) or (b) of 
this section, but only on the basis of fraud substantial new evidence, 
errors in calculation or mistake (misinterpretation) of law.
    (d) A request for reconsideration should indicate fully the legal or 
factual basis asserted as grounds for relief.



PART 537_CLAIMS ON BEHALF OF THE UNITED STATES--Table of Contents




   Subpart A_Claims for Damage to or Loss or Destruction of Army (DA) 
                                Property

Sec.
537.1 General.
537.2 Recovery of property unlawfully detained by civilians.
537.6 Maritime casualties; claims in favor of the United States.
537.7 Maritime claims.

 Subpart B_Claims for the Reasonable Value of Medical Care Furnished by 
                                the Army

537.21 General.
537.22 Basic considerations.
537.23 Predemand procedures.
537.24 Post demand procedures.

    Authority: 10 U.S.C. 3012; sections 537.21 through 537.24 issued 
under 42 U.S.C. 2651-2653;

    Source: 54 FR 43914, Oct. 27, 1989, unless otherwise noted.



   Subpart A_Claims for Damage to or Loss or Destruction of Army (DA) 
                                Property



Sec. 537.1  General.

    (a) Purpose. This section prescribes, within the limitations 
indicated in AR 27-20 (AR 27-20 and other Army Regulations referenced 
herein are available thru: National Technical Information Services, U.S. 
Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161), 
and in paragraph (b) of this section, the procedures for the 
investigation, determination, assertion, and collection, including 
compromise and termination of collection action, of claims in favor of 
the United States for damage to or loss or destruction of Department of 
the Army (DA) property.
    (b) Applicability and scope. (1) Other regulations establish systems 
of property accountability and responsibility; prescribe procedures for 
the investigation of loss, damage, or destruction by causes other than 
fair wear and tear in the service; and provide for the administrative 
collection of charges against military and civilian personnel of the 
United States, contractors and common carriers, and other individuals 
and legal entities from whom collection may be made without litigation. 
When the investigation so prescribed results in preliminary indication 
of pecuniary liability, and no other method of collection is provided, 
the matter is referred for action under this section. This relationship 
exists with regard to--
    (i) Property under the control of the DA.
    (ii) Property of the Defense Logistics Agency in the custody of the 
DA.
    (iii) Property of nonappropriated funds of the DA (except Army and 
Air Force Exchange Service property unless a special agreement exists). 
See AR 215-1 and AR 215-2.
    (iv) Federal property made available to the Army National Guard 
(ARNG).
    (2) This section does not apply to--
    (i) Claims arising from marine casualties.
    (ii) Claims for damage to property funded by civil functions 
appropriations.

[[Page 250]]

    (iii) Claims for damage to property of the DA and Air Force Exchange 
Service.
    (iv) Reimbursements from agencies and instrumentalities of the 
United States for damage to property.
    (v) Collection for damage to property by offset against the pay of 
employees of the United States, or against amounts owed by the United 
States to common carriers, contractors, and States.
    (vi) Claims by the United States against carriers, warehousemen, 
insurers, and other third parties for amounts paid in settlement of 
claims by members and employees of the Army, or the Department of 
Defense (DOD), for loss, damage, or destruction of personal property 
while in transit or storage at Government expense.
    (3) The commander of a major overseas command, as defined in 
paragraph (c)(5) of this section, is authorized to establish procedures 
for the processing of claims in favor of the United States for loss, 
damage, or destruction of property which may, to the extent deemed 
necessary, modify the procedures prescribed herein. Two copies of all 
implementing directives will be furnished Commander, U.S. Army Claims 
Service (USARCS). Procedures will be prescribed--
    (i) To carry out the provisions of DOD Directive No. 5515.8, 
assigning single service claims responsibility.
    (ii) To carry out provisions of treaties and other international 
agreements which limit or provide special methods for the recovery of 
claims in favor of the United States.
    (c) Definitions. For the purpose of this section only, the following 
terms have the meaning indicated:
    (1) Claim. The Government's right to compensation for damage caused 
to Army property.
    (2) Prospective defendant. An individual, partnership, association, 
corporation, governmental body, or other legal entity, foreign or 
domestic, except an instrumentality of the United States, against whom 
the United States has a claim.
    (3) Damage. A comprehensive term, including not only damage to, but 
also loss or destruction of Army property.
    (4) DA property. Real or personal property of the United States or 
its instrumentalities and, if the United States is responsible therefor, 
real or personal property of a foreign government, which is in the 
possession or under the control of the DA, one of its instrumentalities, 
or the ARNG, including that property of an activity for which the Army 
has been designated the administrative agency, and that property located 
in an area in which the Army has been assigned single service claims 
responsibility by appropriate DOD directive.
    (5) Major overseas command. U.S. Army Europe; U.S. Army Forces 
Southern Command; Eighth U.S. Army, Korea; Western Command; and any 
command outside the continental limits of the contiguous States 
specially designated by The Judge Advocate General (TJAG) under the 
provisions of AR 27-20.
    (6) Area Claims Office. The principal office for the investigation, 
assertion, adjudication and settlement of claims, staffed with qualified 
legal personnel under the supervision of a Staff Judge Advocate (SJA) or 
Command Judge Advocate or Corps of Engineers district or Command Legal 
Counsel under provisions of AR 27-20.
    (7) Recovery judge advocate (RJA). A JAGC officer or legal adviser 
responsible for assertion and collection of claims in favor of the 
United States for medical expenses and property damage.
    (d) Limitation of time. The Act of July 18, 1966 (80 Stat. 304, 28 
U.S.C. 2415) established a 3-year statute of limitations, effective July 
19, 1966, upon actions in favor of the United States for money damages 
founded upon a tort. In computing periods of time excluded under 28 
U.S.C. 2416, the RJA concerned shall be deemed the official charged with 
responsibility and will ensure that action may be brought in the name of 
the United States within the limitation period.
    (e) Foreign prospective defendants. Except as indicated below, 
claims within the scope of this section against foreign prospective 
defendants will be investigated, processed, and asserted without regard 
to the nationality of the prospective defendant. Claims against an 
international organization,

[[Page 251]]

a foreign government or a political subdivision, agency, or 
instrumentality thereof, or against a member of the armed forces or an 
official or civilian employee of such international organization or 
foreign government, will not be asserted without prior approval of TJAG. 
Investigation and report thereof, together with recommendations 
regarding assertion and enforcement, will be forwarded through command 
channels to Commander, USARCS, unless the provisions of applicable 
agreements, or regulations in implementation thereof, negate the 
requirement for such investigation and report.
    (f) Standards of liability. (1) The Government's right to 
compensation for damage caused to Army property will be determined in 
accordance with the law of the place in which the damage occurred, 
unless other law may properly be applied under conflict of law rules.
    (2) To the extent that the prospective defendant's liability is 
covered by insurance, liability will be determined without regard to 
standards of pecuniary liability set forth in other regulations. If no 
insurance is available, claims will be asserted under this section 
against military and civilian employees of the United States and of host 
foreign governments only where necessary to complete the collection of 
charges imposed upon such persons under the standards established by 
other regulations.
    (g) Concurrent claims under other regulations. (1) Claims for damage 
to DA property and claims for medical care cognizable under Sec. Sec. 
537.21 through 537.24 arising from the same incident will be processed 
under the sections applicable to each.
    (2) If the incident giving rise to a claim in favor of the United 
States also gives rise to a potential claim or suit against the United 
States, the claim in favor of the Government will be asserted and 
otherwise processed only by an RJA who has apparent authority to take 
final action on the claim against the Government.
    (h) Repayment in kind. The RJA who asserts a claim under this 
section may accept, in lieu of full payment of the claim, the 
restoration of the property to its condition prior to the incident 
causing the damage, or the replacement thereof. Acceptability of these 
methods of repayment is conditioned upon the certification of the 
appropriate staff officer responsible for maintenance, such as is 
described for motor vehicles in AR 735-5, before a release may be 
executed. The authority conferred by this paragraph is not limited to 
incidents involving motor vehicles.
    (i) Delegation of authority. Subject to the provisions of paragraph 
(k) of this section, the authority conferred by AR 27-20, to compromise 
claims and to terminate collection action, with respect to claims that 
do not exceed $20,000, exclusive of interest, penalties and 
administrative fees, is further delegated as follows:
    (1) An Area Claims Office, as defined in paragraph (c)(6) of this 
section, is authorized to:
    (i) Compromise claims, provided the compromise does not reduce the 
claim by more than $10,000.
    (ii) Terminate collection action, provided the uncollected amount of 
claim does not exceed $10,000.
    (2) The SJA, or if so designated, the chief of the Command Claims 
Service of a major overseas command, as defined in paragraph (c)(5) of 
this section, is authorized to:
    (i) Compromise claims, not over $20,000 without monetary 
limitations.
    (ii) Terminate collection action, provided the uncollected amount of 
the claim does not exceed $20,000.
    (j) Compromise and termination of collection action. (1) The 
authority delegated in paragraph (j) of this section to compromise 
claims will be exercised in accordance with the standards set forth in 4 
CFR part 104.
    (2) The authority delegated in paragraph (j) of this section to 
terminate collection action will be exercised in accordance with the 
standards set forth in 4 CFR part 104.
    (3) A debtor's liability to the United States arising from a 
particular incident shall be considered as a single claim in determining 
whether the claim is not more than $20,000, exclusive of interest, 
penalties and administrative fees for the purpose of compromise, or 
termination of collection action.

[[Page 252]]

    (4) Only the Department of Justice may approve claims involving:
    (i) Compromise or waiver of a claim asserted for more than $20,000 
exclusive of interest, penalties and administrative fees.
    (ii) Settlement actions previously referred to the Department.
    (iii) Settlement where a third party files suit against the United 
States or the individual federal tortfeaser arising but of the same 
incident.
    (k) Releases. The RJA who receives payment of the claim in full, or 
who receives full satisfaction of an approved compromise settlement, is 
authorized to execute a release. A standard form furnished by the 
prospective defendant or his insurer may be executed, provided no 
indemnity agreement is included.
    (l) Receipts. The RJA may execute and deliver to a prospective 
defendant a receipt for payment in full, installment payment or an 
offered compromise payment, subject to approval of the SJA. DA Form 
2135-R (Receipt for Payment for Damage to or Loss of Government 
Property) be used.



Sec. 537.2  Recovery of property unlawfully detained by civilians.

    Whenever information is received that any property belonging to the 
military service of the United States is unlawfully in the possession of 
any person not in the military service, the procedures contained in AR 
735-11, Para. 3-15, Unit Supply UPDATE 10, should be followed.



Sec. 537.6  Maritime casualties; claims in favor of the United States.

    See 32 CFR 536.60, which covers claims on behalf of the United 
States as well as claims against the United States.



Sec. 537.7  Maritime claims.

    (a) Statutory authority. Administrative settlement or compromise of 
admiralty and maritime claims in favor of and against the United States 
by the Secretary of the Army or his designee, under the direction of the 
Secretary of Defense, is authorized by Army Maritime Claims Settlement 
Act of 1956 (70A Stat. 270), as amended (10 U.S.C. 4801-4804, 4806).
    (b) Related statutes. This statute authorizes the administrative 
settlement or compromise of maritime claims and supplements the 
following statutes under which suits in admiralty may be brought; the 
Suits in Admiralty Act of 1920 (41 Stat. 525, 46 U.S.C. 741-752); the 
Public Vessels Act of 1925 (43 Stat. 1112, 46 U.S.C. 781-790); the 
Extention of the Admiralty Act of 1948 (62 Stat. 496, 46 U.S.C. 740). 
Similar maritime claims settlement authority is exercised by the 
Department of the Navy under title 10, United States Code (U.S.C.), 
sections 7365, 7621-7623, and by the Department of the Air Force under 
10 U.S.C. 9801 through 9804, 9806.
    (c) Scope. (1) Section 4803 of title 10, U.S.C., provides for the 
settlement or compromise of claims of a kind that are within the 
admiralty jurisdiction of a district court of the United States and of 
claims for damage caused by a vessel or floating object to property 
under the jurisdiction of the DA or property for which the Department 
has assumed an obligation to respond in damages, where the net amount 
payable to the United States does not exceed $500,000.
    (2) Section 4804 of title 10, U.S.C., for the settlement or 
compromise of claims in any amount for salvage services (including 
contract salvage and towage) performed by the DA for any vessel. The 
amounts of claims for salvage services are based upon per diem rates for 
the use of salvage vessels and other equipment; and materials and 
equipment damaged or lost during the salvage operation. The sum claimed 
is intended to compensate the United States for operational costs only, 
reserving, however, the right of the Government to assert a claim on a 
salvage bonus basis, in accordance with commercial practice, in an 
appropriate case.
    (d) Amounts exceeding $500,000. Maritime claims in favor of the 
United States, except claims for salvage services, may not be settled or 
compromised under this section at a net amount exceeding $500,000 
payable to the United States. However, all such claims otherwise within 
the scope of this section will be investigated and reported to the 
Commander, USARCS.

[[Page 253]]

    (e) Civil works activities. Rights of the United States to fines, 
penalties, forfeitures, or other special remedies in connection with the 
protection of navigable waters, the control and improvement of rivers 
and harbors, flood control, and other functions of the Corps of 
Engineers involving civil works activities, are not dealt with in this 
section. However, claims for money damages which are civil in nature, 
arising out of civil works activities of the Corps of Engineers and 
otherwise under this section, for which an adequate remedy is not 
available to the Chief of Engineers, may be processed under this 
section.
    (f) Delegation of authority. Where the amount to be received by the 
United States is not more than $10,000, claims under this section, 
except claims for salvage services, paragraph (c)(2) of this section, 
may be settled or compromised by the Commander, USARCS, or designee, 
subject to such limitations as may be imposed by the Commander, USARCS 
and by engineer area claims offices, subject to such limitations as may 
be imposed by the Chief of Engineers.
    (g) Demands. Demand for the payment of claims in favor of the United 
States under this section may be made by the Commander, USARCS, or 
designee.



 Subpart B_Claims for the Reasonable Value of Medical Care Furnished by 
                                the Army



Sec. 537.21  General.

    (a) Authority. The regulations in Sec. Sec. 537.21 through 537.24 
are in implementation of the Act of September 25, 1962 (76 Stat. 593, 42 
U.S.C. 2651-3), Executive Order Number 11060 (27 FR 10925), and Attorney 
General's Order Number 289-62, as amended (28 CFR part 43), providing 
for the recovery of the reasonable value of medical care furnished or to 
be furnished by the United States to a person on account of injury or 
disease incurred after December 31, 1962, under circumstances creating a 
tort liability upon some third person.
    (b) Applicability and scope. (1) Sections 537.21 through 537.24 
apply to all claims for the reasonable value of medical services 
furnished by or at the expense of the Army which result from incidents 
occurring on or after March 1, 1969. Cases which arise from incidents 
occurring prior to that date:
    (i) And which are the responsibility of an SJA or JA who is 
designated an RJA will be processed under Sec. Sec. 537.21 through 
537.24;
    (ii) And which are the responsibility of an SJA or JA not so 
designated will be processed under the predecessor regulation until 
either completed or transferred.
    (2) The procedures prescribed herein are to be employed within the 
DA for the investigation, determination, assertion, and collection, 
including compromise and waiver, in whole or in part, of claims in favor 
of the United States for the reasonable value of medical services 
furnished by or at the expense of DA. TJAG provides general supervision 
and control of the investigation and assertion of claims arising under 
the Federal Medical Care Recovery Act.
    (3) In Continental U.S., Army SJA's and RJA's will be assigned 
responsibility under Sec. Sec. 537.21 through 537.24 on a geographical 
area basis.
    (4) The commander of any major overseas command specified in 
paragraph (c)(5) of this section is authorized to modify the procedures 
prescribed herein to accommodate any special circumstances which may 
exist in the command.
    (5) Claims for medical care furnished by the DA on a reimbursable 
basis (see table 1, AR 40-3) ordinarily will be forwarded for processing 
directly to the Federal department or agency responsible for 
reimbursement.
    (c) Definitions. For the purpose of Sec. Sec. 537.21 through 537.24 
only, the following terms have the meaning indicated.
    (1) Claim. The Government's right to recover from a prospective 
defendant the reasonable value of medical care furnished to each injured 
party.
    (2) Medical care. Includes hospitalization, out-patient treatment, 
dental care, nursing service, drugs, and other adjuncts such as 
prostheses and medical appliances furnished by or at the expense of the 
United States.

[[Page 254]]

    (3) Injured party. The person who received an injury or contracted a 
disease which resulted in the medical care. Such person may be an active 
duty or retired member, a dependent, or any other person who is eligible 
for medical care at DA expense. See section III, AR 40-3, and Sec. Sec. 
577.60 through 577.71 of this chapter.
    (4) Prospective defendant. A person other than the injured party. An 
individual partnership, association, corporation, governmental body, or 
other legal entity, foreign or domestic, against whom the United States 
has a claim.
    (5) Major overseas command. U.S. Army Forces Southern Command; the 
U.S. Army, Europe; Eighth U.S. Army, Korea; Western Command; and any 
command outside the continental limits of the contiguous states 
specially designated by TJAG under the provisions of AR 27-20.
    (6) Recovery judge advocate. A JAGC officer or legal adviser 
responsible for assertion and collection of claims in favor of the 
United States for medical expenses.



Sec. 537.22  Basic considerations.

    (a) The right of recovery--(1) Applicable law. The right of the 
United States to recover the reasonable value of medical care furnished 
or to be furnished an injured party is based on the Federal Medical Care 
Recovery Act. It accrues simultaneously with the accrual of the injured 
party's right to recover damages from the prospective defendant but is 
independent of any claim which the injured person may have against the 
prospective defendant. Recovery is allowed only if the injury or 
diseases resulted from circumstances creating a tort liability under the 
law of the place where the injury occurred.
    (2) Time limitation. The Act of 18 July 1966 (28 U.S.C. 2415 et 
seq.) establishes a 3-year statute of limitation upon actions in favor 
of the United States for money damages founded upon a tort. The RJA will 
take appropriate steps within the limitation period to assure that 
necessary legal action is not barred by the statute.
    (3) Amount. The Government's right of recovery is limited to amounts 
expended or to be expended by the United States for medical care from 
other than Federal sources, and to amounts determined by the rates 
established by the Office of Management and Budget for medical care from 
Federal sources, less any amounts reimbursed by the injured party.
    (b) Certain prospective defendants--(1) U.S. Government agencies. No 
claim will be asserted against any department, agency, or 
instrumentality of the United States.
    (2) U.S. personnel. Claims against a member of the uniformed 
services; or an employee of the United States, its agencies or 
instrumentalities; or a dependent of a service member or an employee 
will not be asserted unless the prospective defendant has the benefit of 
liability insurance coverage or was guilty of gross negligence or 
willful misconduct. If simple negligence occurring in the scope of a 
member's or employee's employment is the basis of the claim, no claim 
will be asserted if such claim is excluded from the coverage of the 
liability insurance policy involved. No claim, in the absence of 
specific statutory authorization, will be made directly against a member 
or employee, or his or her dependents for injuries sustained to himself 
or herself through acts of simple negligence, gross negligence, or 
willful misconduct.
    (3) Government contractors. Claims, the cost or expense of which may 
be reimbursable by the United States under the terms of a contract, will 
not be asserted against a contractor without the prior approval of 
USARCS. Such claims will be investigated and the report thereof, which 
will include citation to the specific contract clauses involved and 
recommendations regarding assertion will be forwarded through command 
channels to Commander, USARCS.
    (4) Foreign persons. Claims within the scope of Sec. Sec. 537.21 
through 537.24 against foreign prospective defendants will be 
investigated, processed, and asserted without regard to the nationality 
of the prospective defendant, unless such action is precluded by treaty 
or international agreement. Claims against an international 
organization, or foreign government, will be investigated and

[[Page 255]]

reports thereof, together with recommendations regarding assertion and 
enforcement, will be forwarded through command channels to Commander, 
USARCS.
    (5) National Guard Members. Claims arising from the tortious conduct 
of NG members will be investigated and if assertion appears appropriate, 
a recommendation shall be made to Commander, USARCS.
    (c) Concurrent claims under other regulations--(1) Section 537.1. 
Claims for medical care and claims for damage to DA property arising 
from the same incident will be processed by the RJA in accordance with 
Sec. 537.1(g). If an RJA lacks settlement authority sufficient to 
settle a concurrent claim under Sec. 537.1, he may request additional 
authority under that section from the appropriate major overseas command 
SJA or area claims authority, who may delegate such additional authority 
in an amount not exceeding his own settlement authority. Where time is 
of the essence, telephonic delegations of authority are encouraged, 
provided they are confirmed in a writing which will be made a part of 
the case file.
    (2) Counterclaims. Claims for medical care and claims against the 
United States which arise from the same incident will be processed by 
the RJA in accordance with Sec. 537.1(g)(2). If an RJA lacks authority 
sufficient to settle the claim against the Government, he will 
coordinate his action with that claims echelon which has the necessary 
authority to settle the particular claim against the United States.



Sec. 537.23  Predemand procedures.

    (a) Relations with the injured party--(1) Advice. The injured party, 
or, in appropriate cases, his guardian, next-of-kin, personal 
representative, or the executor or administrator of his estate, will be 
advised of the following:
    (i) That under the Act of September 25, 1962 (76 Stat. 593, 42 
U.S.C. 2651-3, the United States may be entitled to recover the 
reasonable value of medical care furnished or to be furnished him in the 
future from the person or persons who injured him, or who were otherwise 
responsible for his injury or disease; and
    (ii) That if he is otherwise entitled to legal assistance under AR 
27-3, he should seek guidance from a legal assistance officer regarding 
any claim he may have for personal injury; and
    (iii) That he is required to cooperate in the prosecution of all 
actions of the United States against the person or persons who injured 
him; and
    (iv) That he is required to furnish a complete statement regarding 
the facts and circumstances surrounding the incident which resulted in 
the injury or disease; and
    (v) That he is required to furnish information concerning any legal 
action brought or to be brought by or against the prospective defendant, 
or to furnish the name and address of the attorney representing him; and
    (vi) That he should not execute a release or settle any claim which 
he may have as a result of his injury without first notifying the RJA.
    (2) Statement. A written statement will be obtained from the injured 
party, or his representative, in which he acknowledges receipt of the 
advice in paragraph (a)(1) of this section, and provides the information 
required by paragraphs (a)(1) (iv) and (v) of this section. If the 
injured party or representative fails or refuses to furnish necessary 
information or cooperation, the originator of the notification of 
potential claims may be requested to withhold records as to medical 
history, diagnoses, findings, and treatment, from the injured party or 
anyone acting on his behalf pending compliance with the requirements in 
paragraph (a)(1) of this section. Mere refusal by the injured party or 
his representative to include the Government's claim in his claim is not 
sufficient basis, by itself, for this action.
    (b) Determination and assertion--(1) Liability. The RJA will review 
all the evidence including any claims officer's report of investigation 
and, after assuring completeness of the file, will make a written 
determination as to the liability of the prospective defendant and note 
his reasons for such determination.
    (2) Value. If the RJA determines that the prospective defendant is 
liable, he will also ascertain the reasonable value

[[Page 256]]

of medical care furnished or to be furnished to the injured party, in 
accordance with Sec. 537.22(a)(3) and rates established by the Office 
of Management and Budget. When a military member has been retained in a 
military hospital for administrative reasons, or where the patient was 
absent from the hospital or was in a purely convalescent status, the 
amount of the claim will be recomputed to apply the outpatient rate, if 
under circumstances warranting only outpatient treatment in a civilian 
hospital or eliminate such periods altogether if the injured party 
received no treatment during those periods. In making these 
determinations the RJA will coordinate with the registrar or other 
responsible official of the hospital or medical unit in his area of 
responsibility.
    (3) Amount. In the event of doubt concerning the extent of medical 
care furnished or to be furnished an injured party, the RJA will assert 
the claim in an indefinite amount. Demand will be made in a definite 
amount at the earliest possible date, based on an estimate of a 
reasonable value of medical care to be furnished, if appropriate. The 
RJA will assure that the file contains complete statements of the value 
of medical care furnished, including all charges by civilian physicians, 
medical technicians and civilian hospitals.



Sec. 537.24  Post demand procedures.

    (a) Coordination with the injured party's claim. (1) Every effort 
will be made to coordinate action to collect the claim of the United 
States with the injured party's action to collect his own claim for 
damages, in order that the injured party's recovery for his damages, 
other than the reasonable value of medical care furnished or to be 
furnished by the United States, is not prejudiced by the Government's 
claim.
    (2) Attorneys representing an injured party may be authorized to 
assert the claim on behalf of the government as an item of special 
damages with the injured party's claim or suit except where prohibited 
by law. Any agreement to this effect will be in writing, and the 
agreement should expressly recognize the fact that counsel fees may be 
neither paid by the Government (5 U.S.C. 3106) nor computed on the basis 
of the Government's portion of the recovery. The agreement must also 
require the Government's permission to settle its claim.
    (3) If the injured party, denies or his attorney or legal 
representative, fails or refuses to cooperate in the prosecution of the 
claim of the United States, independent collection action will be 
vigorously pursued.
    (b) Independent collection action. Unless suit between the injured 
party and the prospective defendant is pending, all available 
administrative collection procedures will be followed prior to reference 
of the claim to the Department of Justice under paragraph (e) of this 
section. Direct contact with the prospective defendant's insurer, if 
known, is desirable. If the prospective defendant is an uninsured 
motorist, timely and appropriate action will be taken to collect the 
claim, or to request suspension of driving and registration privileges 
under the applicable uninsured motorist fund statute, or to seek 
compensation from the victim's insurer, or otherwise under financial 
responsibility laws.
    (c) Delegation of authority. Subject to the provisions of paragraphs 
(d) and (e) of this section, authority to compromise or waive, in whole 
or in part, claims of the United States not in excess of $40,000 
exclusive of interest penalties and administrative fees is delegated as 
follows. The Area Claims Office as defined in paragraph (c)(6) of 
section 537.1 is authorized to:
    (1) Compromise claims, provided the compromise does not reduce the 
claim by more than $15,000 in any claim not asserted for more than 
$25,000; and
    (2) Waive claims for the convenience of the Government (but not on 
account of undue hardship upon the injured party) provided the 
uncollected amount of the claim does not exceed $15,000 in any claim not 
asserted for more than $25,000; and
    (3) Redelegation in an amount not to exceed $5,000 compromise 
authority to any claim processing office with approval authority is 
permitted.
    (d) Compromise and waiver of claims--(1) General. A debtor's 
liability to the United States arising from a particular incident will 
be considered as a single claim in determining whether the

[[Page 257]]

claim is not more than $40,000, for the purpose of compromise or waiver. 
Claims not resolved within the delegation of authority stated in this 
section or referred to the Department of Justice, will be forwarded to 
Commander, USARCS. A claim file forwarded to higher authority will 
contain a memorandum of opinion supported by necessary exhibits.
    (2) Compromise. (i) The authority delegated in paragraph (c) of this 
section to compromise claims will be exercised in accordance with 
standards set forth in 4 CFR 103. When available funds are insufficient 
to satisfy both the claim of the United States and that of the injured 
party, the claim of the United States will be compromised to the extent 
required to achieve an equitable apportionment of the available funds.
    (ii) If appropriate, a request by the injured party or his attorney 
for waiver on the ground of undue hardship may be treated initially as a 
suggestion for compromise with the tortfeasor, and the compromised 
amount of the claim of the United States will be determined. In such 
cases, RJA's may make offers of compromise within their delegated 
authority. RJA's may also make counteroffers within their delegated 
authority to offers of compromise beyond their delegated authority. If 
settlement within the limits of delegated authority is not achieved, the 
claim will be referred to higher authority.
    (iii) When time is a factor, SJA or major overseas command staff 
JA's may make telephonic delegation within their compromise authority on 
a case by case basis. When such verbal delegations are made, they will 
be confirmed in writing and the writing included in the case file.
    (3) Waiver. (i) The authority delegated in paragraph (c) of this 
section to waive claims for the convenience of the Government will be 
exercised in accordance with standards set forth in 4 CFR part 103.
    (ii) If the injured party or his attorney requests waiver of the 
full or any compromised amount of the claim on the ground of undue 
hardship, and the request may not be appropriately treated under 
paragraph (d)(2)(ii) of this section, the file will be forwarded to 
appropriate major overseas command claims authority or Commander, 
USARCS. For the purpose of evaluation of the request for waiver, the 
file will include detailed information concerning the reasonable value 
of the injured party's claim for permanent injury, pain and suffering, 
decreasing earning power, and other items of special damages, pension 
rights, and other Government benefits accruing to the injured party; and 
the present and prospective assets, income, and obligations of the 
injured party, and those dependent on him.
    (iii) In the event an affirmative determination is made by TJAG 
that, as a result of the collection of the Government's claim the 
injured party has suffered an undue hardship, the RJA will be authorized 
to direct issuance of the amount waived to the injured party.
    (4) A file forwarded to higher authority for waiver of compromise 
consideration will contain a memorandum by the RJA giving his assessment 
of the case and his recommendation with regard to the approval or denial 
of the requested compromise or waiver.
    (e) Only the Department of Justice may approve claims involving. (1) 
compromise or waiver of a claim asserted for more than $40,000 exclusive 
of interest, penalties or administrative fees,
    (2) Settlement actions previously referred to the Department,
    (3) Settlement where a third party files suit against the United 
States on the injured party arising out of the same incident.



PART 538_MILITARY PAYMENT CERTIFICATES--Table of Contents




Sec.
538.1 Definitions.
538.2 Use of military payment certificates.
538.3 Restrictions on possession and use.
538.4 Convertibility of military payment certificates.
538.5 Conversion of invalidated military payment certificates.
538.6 Claims.

    Authority: Sec. 3, 58 Stat. 821, as amended; 31 U.S.C. 492c.

    Source: 44 FR 76784, Dec. 28, 1979, unless otherwise noted.

[[Page 258]]



Sec. 538.1  Definitions.

    (a) United States dollar instruments. For the purpose of this 
section, United States dollar instruments include the following:
    (1) United States Treasury checks (standard dollar checks) drawn on 
the Treasurer of the United States by authorized finance and accounting 
officers.
    (2) Travelers' checks issued by the American Express Company; Bank 
of America, National Trust and Savings Association; Mellon National Bank 
and Trust Company; Citibank of New York; Thomas Cook and Son (Bankers) 
Ltd.; and the First National Bank of Chicago, when expressed in United 
States dollars.
    (3) United States military disbursing officers' payment orders.
    (4) American Express Company money orders, when expressed in United 
States dollars, and United States postal money orders.
    (5) Telegraphic money orders, when expressed in United States 
dollars.
    (b) Military Payment Certificate (MPC). The military payment 
certificate is an instrument, denominated in U.S. dollars and fractions 
thereof, that may be used as the official medium of exchange in U.S. 
military establishments located in overseas areas when such areas are 
designated as ``Military Payment Certificate Areas.''
    (c) Authorized Personnel. As used herein, the term ``authorized 
personnel'' means all individuals authorized to purchase goods, supplies 
and services from U.S. Government sponsored and controlled facilities 
located and operated in an MPC area.



Sec. 538.2  Use of military payment certificates.

    (a) Areas in which used. Military payment certificates are to be 
used only in the Department of Defense by authorized personnel in 
designated MPC areas. A Military Payment Certificate Area is a 
particular foreign country(s), or a specific area within a foreign 
country, that has been officially authorized for designation as an MPC 
area.
    (b) Disbursement of military payment certificates. Military payment 
certificates will be disbursed to authorized personnel for all items of 
pay and allowances and for all other authorized payments to individuals 
in and under the Department of Defense.
    (c) Facilities in which used. Military payment certificates are the 
only authorized medium of exchange in the following facilities:
    (1) Army, Navy, and Air Force sales and services installations and 
activities.
    (2) Theaters and other entertainment facilities operated by 
Department of Defense.
    (3) Officers' and enlisted personnel messes and clubs, including 
American Red Cross installations.
    (4) Army, Navy, and Air Force postal installations for purchase of 
postal money orders and stamps, and cashing of postal money orders.
    (5) Contribution to all authorized charitable appeals, church 
collections, and chaplain's funds when remittance is to be forwarded to 
the United States through Department of Defense channels.
    (6) Payments to all travel agencies, radio, cable, telegraph, and 
telephone companies, and all other similar facilities when remittance is 
to be forwarded to the United States through Department of Defense 
channels.
    (7) All other official agencies, quasi-official and private agencies 
of or working in behalf of United States Army Forces providing goods, 
services, and facilities to members of the United States Armed Forces.



Sec. 538.3  Restrictions on possession and use.

    (a) Possession or use prohibited. Possession or use of military 
payment certificates is prohibited unless acquired in accordance with 
Sec. Sec. 538.1 through 538.4 and such additional regulations as may be 
issued by the major overseas commander concerned.
    (b) Not to violate directives. Acquisition, possession, and use of 
military payment certificates incident to normal legitimate transactions 
within the Department of Defense must not violate Department of the Army 
or major overseas command directives or the Uniform Code of Military 
Justice.
    (c) Acceptance, transfer, or exchange. Under no circumstances will 
military

[[Page 259]]

payment certificates be accepted from, transferred to, or exchanged for 
persons other than authorized personnel. Military payment certificates 
will not be accepted or exchanged after the date specified by the 
Secretary of the Army as the last day for their acceptance or exchange.
    (d) Transmission through mail. Individuals are prohibited from 
transmitting military payment certificates through the mail to any areas 
other than those designated as an MPC area. Military payment 
certificates may be transmitted to authorized personnel or official 
agencies by mail within or between designated MPC areas.



Sec. 538.4  Convertibility of military payment certificates.

    (a) For authorized personnel. Authorized personnel having in their 
possession military payment certificates that were acquired legitimately 
may exchange those certificates for U.S. currency, coin, or dollar 
instruments, including U.S. Treasury dollar checks under the following 
conditions:
    (1) Upon departure for the United States.
    (2) When traveling under competent orders to areas where military 
payment certificates are not designated for use.
    (3) When traveling under competent orders to military payment 
certificate areas where finance and accounting officers, Class ``B'' 
Agent Officers, including military attache agent officers, or exchange 
facilities are not readily available to the traveler.
    (b) The provisions of this section will not be construed as 
authorizing finance and accounting officers or their agents in areas 
outside of military payment certificate areas to convert military 
payment certificates for authorized personnel returning from MPC areas. 
Such exchange must be made prior to departure from the MPC area.
    (c) Conversion of Military Payment Certificates suspected of being 
acquired illegitimately. Military payment certificates will not be 
converted for any holder under circumstances where there are reasonable 
grounds to believe that the holder was not an authorized person at the 
time of acquisition or that the certificates were acquired by the 
holder, or by another with the holder's knowledge, from a person not 
authorized to possess or use them. Amounts of certificates exceeding 
those which the holder would normally acquire or hold under applicable 
circumstances as prescribed by local regulations will not be approved 
for conversion unless the holder shows by a preponderance of evidence 
that they were acquired legitimately. Where there are reasonable grounds 
to believe that the military payment certificates were not acquired 
legitimately, they will be impounded and retained pending an 
administrative determination as to the source of acquisition. If it is 
determined that the individual concerned was not an authorized person at 
the time of acquisition, the certificates will be confiscated and the 
dollar proceeds deposited in the Treasury to the General Fund 
(Miscellaneous) Receipt Account 211099, ``Fines, penalties and 
forfeitures not otherwise classified.'' If it is determined that the 
individual concerned was an authorized person at the time of 
acquisition, or that the certificates belong to an authorized person, 
the certificates or their dollar value will be returned to the owner 
unless there are reasonable grounds to believe the certificates were 
acquired by the holder or another with the holder's knowledge from an 
unauthorized person. If it is determined that the certificates were 
acquired from an unauthorized person, the certificates will be 
confiscated and the dollar proceeds deposited in the Treasury to the 
General Fund (Miscellaneous) Receipt Account 211099, ``Fines, penalties 
and forfeitures not otherwise classified.'' Collection vouchers 
affecting these deposits will cite claimants' names and sufficient 
information to permit ready identification of the deposits in order to 
facilitate the processing of any subsequent claims for amounts so 
deposited.
    (d) Transactions with disbursing officers of other services. Dollar 
instruments may be exchanged for military payment certificates or 
military payment certificates for dollar instruments in transactions 
with Navy and Air Force disbursing officers and their agents. Major 
overseas commanders may specifically authorize such transactions with 
other disbursing officers of the

[[Page 260]]

United States Government and their agents.



Sec. 538.5  Conversion of invalidated military payment certificates.

    (a) When converted. Time limit on filing claims for the conversion 
of invalidated Series 461, 471, 472, 481, 521, 541, 591, 611, 641, 651, 
661, 681, and 692 expires on 30 September 1980.
    (b) When found in effects of deceased personnel. Invalidated series 
of military payment certificates in amounts not in excess of $500, found 
in the effects of deceased personnel or personnel in a missing status, 
will be converted into a Treasury check. Such military payment 
certificates will be converted only if date of death or entry into 
missing status was prior to the date the series of military payment 
certificates was withdrawn from circulation. The Treasury check will be 
disposed of in accordance with regulations governing disposition of 
effects of deceased or missing personnel. Amounts in excess of $500 will 
be forwarded by the summary court officer to the U.S. Army Finance and 
Accounting Center for decision regarding exchange of such certificates.
    (c) Disposition when received with claim. Under no circumstances 
will invalidated series of military payment certificates received with 
claims for conversion be taken up in the accounts of the finance and 
accounting officer. Such certificates will be held in safekeeping until 
decision is made. If the claim is disapproved, the certificates will be 
returned to the claimant. In the event these certificates are again 
received by the finance and accounting officer as undeliverable and 
reasonable efforts fail to locate the claimant, the certificates will be 
held for a period of 6 months after which time the proceeds of the 
certificates will be deposited in the Treasury to the General Fund 
(Miscellaneous) Receipt Account 211060, ``Forfeitures of unclaimed money 
and property.''



Sec. 538.6  Claims.

    Claims for conversion of military payment certificates, as well as 
claims arising out of the refusal of the overseas command to convert 
military payment certificates, will be referred to the U.S. Army Finance 
and Accounting Center, ATTN: FINCY-D, Indianapolis, Indiana 46249. The 
U.S. Army Finance and Accounting Center will adjudicate and make final 
determination on all claims.

[[Page 261]]



                     SUBCHAPTER C_MILITARY EDUCATION





PART 542_SCHOOLS AND COLLEGES--Table of Contents




Sec.
542.1 Purpose.
542.2 Applicability.
542.3 Definitions.
542.4 Objectives.
542.5 Policies.
542.6 Responsibilities.
542.7 Program information.

    Authority: 10 U.S.C. 2031 and 4651.

    Source: 44 FR 51219, Aug. 31, 1979, unless otherwise noted.



Sec. 542.1  Purpose.

    This regulation prescribes policies for administering the Junior 
Reserve Officers' Training Corps (JROTC) and the National Defense Cadet 
Corps (NDCC).



Sec. 542.2  Applicability.

    This regulation applies to the Department of the Army (including the 
corps and their units), schools, and personnel associated with applying 
for these programs.



Sec. 542.3  Definitions.

    The following terms apply to the JROTC and NDCC programs:
    (a) Junior Reserve Officers' Training Corps (JROTC). The 
organization of units established by the Department of the Army (under 
10 U.S.C 2031) at public and private secondary schools to conduct 
student leadership training. Also, a general term used:
    (1) To describe all JROTC training conducted at secondary schools.
    (2) To denote the members, instruction, and other related matters.
    (b) National Defense Cadet Corps (NDCC). Students taking part in 
leadership studies at any school under 10 U.S.C. 4651 and as prescribed 
by the Secretary of the Army. Used in a broad sense to refer to the 
program and related matters.
    (c) Leadership Development (LD) Program. The JROTC curriculum which 
consists of a 4- or 3-year program of instuction (LD-1, -2, -3, and -4).
    (d) Military Science (MS). The Senior ROTC curriculum which consists 
of two courses--the basic course (MS-I and MS-II) and the advanced 
course (MS-III and MS-IV).
    (e) Region commander. The commanding general of a US Army ROTC 
Region who is responsible for the operation, training, and 
administration of the ROTC program within his/her geographical area. 
Region commanders are located at:
    (1) US Army First ROTC Region, Fort Bragg, NC 28307.
    (2) US Army Second ROTC Region, Fort Knox, KY 40121.
    (3) US Army Third ROTC Region, Fort Riley, KS 66442.
    (4) US Army Fourth ROTC Region, Fort Lewis, WA 98433.
    (5) The Commander-in-Chief, US Army Europe and Seventh Army, APO New 
York 09102.



Sec. 542.4  Objectives.

    The Army JROTC/NDCC objectives are to develop in each cadet--
    (a) Good citizenship and partiotism.
    (b) Self-reliance, leadership, and responsiveness to constituted 
authority.
    (c) The ability to communicate well both orally and in writing.
    (d) An appreciation of the importance of physical fitness.
    (e) A respect for the role of the US Army in support of national 
objectives.
    (f) A knowledge of basic military skills.



Sec. 542.5  Policies.

    (a) The Junior Reserve Officers' Training Corps and the National 
Defense Cadet Corps programs are designed for physically fit citizens 
attending participating schools. They provide meaningful leadership 
instruction of benefit to the student and of value to the Armed Forces. 
The programs provide unique educational opportunities for young citizens 
through their participation in a Federally-sponsored course while 
pursuing a normal civilian education. Students will acquire:
    (1) An understanding of the fundamental concept of leadership, 
military art and science,

[[Page 262]]

    (2) An introduction to related professional knowledge, and
    (3) An appreciation of requirements for national security. The dual 
roles of citizen/soldier and soldier/citizen are studied.
    (b) Participants in either of the programs will acquire relevant 
knowledge and develop personally. Schools conducting these programs will 
offer their students the challenge of intellectual inquiry under the 
direction of instructors who are experienced leaders. (JROTC instructors 
are active duty or retired members of the US Army. NDCC schools may 
employ retired or Reserve members.) These programs provide an atmosphere 
designed to develop the qualities of leadership. Through classroom and 
other activities, the students will acquire the knowledge, self-
discipline, patriotism, sense of responsibility, and responsiveness to 
constituted authority which will better prepare them for the future. 
These programs will enable cadets to better serve their country as 
leaders, as citizens, and in military service should they enter it.
    (c) The programs were set up as part of the National Defense Act of 
1916. The principle of maintaining national programs of training for the 
young citizens attending school was validated during congressional 
hearings preceding passage of the ROTC Vitalization Act of 1964. The 
JROTC and NDCC are not, of themselves, officer-producing programs but 
should create favorable attitudes and impressions toward the Services 
and toward careers in the Armed Forces. JROTC/NDCC cadets may qualify 
for an advantageous position in the Senior ROTC and for a higher pay 
grade upon enlistment in a Regular or Reserve component of the Armed 
Forces.
    (d) Participation in JROTC/NDCC does not obligate the student to 
perform military or any other Federal service. Although all qualified 
students of JROTC/NDCC host schools are encouraged to take part in these 
programs, they are not required by Federal law to do so. State, 
community, or school authorities decree whether students must be in the 
programs.



Sec. 542.6  Responsibilities.

    (a) The Commanding General, US Army Military Personnel Center, 200 
Stovall Street, Alexandria, VA 22332, is responsible for administering 
the Army JROTC/NDCC programs and announcing policy changes.
    (b) The Commanding General, US Army Training and Doctrine Command, 
Ft. Monroe, VA 23651, is responsible for managing the JROTC/NDCC except 
for those functions and responsibilities retained by Headquarters, 
Department of the Army.
    (c) Region commanders are responsible for operating and 
administering the JROTC/NDCC training conducted within their areas.



Sec. 542.7  Program information.

    (a) The JROTC/NDCC is organized into units at public and private 
secondary schools. The NDCC differs from the JROTC in that NDCC 
instructors must be provided by the school. Although these instructors 
are subject to Army approval, there is no cost-sharing arrangement as 
exists for JROTC. Also schools or students must provide uniforms, if 
desired, in the NDCC program. Schools desiring to conduct either program 
must apply to the region commander of the area in which the school is 
located. To participate in the program a school must maintain an 
enrollment in the unit of at least one hundred physically fit students 
who are at least 14 years of age and meet one of the following 
accreditation standards:
    (1) Be accredited by a nationally recognized accrediting agency.
    (2) Be accredited by a State, State educational agency, or State 
university.
    (3) Have attained a preaccreditable status of reasonable assurance 
subject to attainment and maintenance of a status listed above within 5 
years of initial academic enrollment of students.
    (b) Students who desire to enroll and continue as a member of the 
JROTC/NDCC program must:
    (1) Be enrolled in and attending full-time a regular course of 
instruction at a JROTC/NDCC institution.
    (2) Be a citizen of the United States.
    (3) Be at least 14 years of age.

[[Page 263]]

    (4) Meet the physical fitness standards prescribed by the school.

                        PARTS 543-544 [RESERVED]

[[Page 264]]



       SUBCHAPTER D_MILITARY RESERVATIONS AND NATIONAL CEMETERIES





PART 552_REGULATIONS AFFECTING MILITARY RESERVATIONS--Table of Contents




Subpart A_Use of Department of the Army Real Estate Claims Founded Upon 
                                Contract

Sec.
552.16 Real estate claims founded upon contract.

                        Subpart B_Post Commander

552.18 Administration.
552.19 Hunting and fishing permits.

  Subpart C_Entry Regulations for Certain Army Training Areas in Hawaii

552.25 Entry regulations for certain Army training areas in Hawaii.

        Subpart D_Acquisition of Real Estate and Interest Therein

552.30 Purpose.
552.31 Definitions.
552.32 Authority to acquire real estate and interests therein.
552.33 Estates and methods of acquisition.
552.34 Policies relative to new acquisition.
552.35 Rights-of-entry for survey and exploration.
552.36 Rights-of-entry for construction.
552.37 Acquisition by Chief of Engineers.
552.38 Acquisition of maneuver agreements for Army commanders.
552.39 Acquisition of short-term leases by local commanding officers.

             Subpart E_Solicitation on Military Reservations

552.50 Purpose.
552.51 Applicability.
552.52 Explanation of terms.
552.53 Regulatory requirements.
552.54 Solicitation.
552.55 Restrictions.
552.56 Licensing requirements.
552.57 Authorization to solicit.
552.58 Other transactions.
552.59 Granting solicitation privileges.
552.60 Supervision of on-post commercial activities.
552.61 Products and services offered in solicitation.
552.62 Advertising rules and educational programs.
552.63 ``Cooling off'' period for door-to-door sales.
552.64 Sound insurance underwriting and programing.
552.65 Command supervision.
552.66 Actions required by agents.
552.67 Life insurance policy content.
552.68 Minimum requirements for agents.
552.69 Application by companies to solicit on military installations in 
          the United States, its territories, or the Commonwealth of 
          Puerto Rico.
552.70 Applications by companies to solicit on installations in foreign 
          countries.
552.71 Associations--general.
552.72 Use of the allotment of pay system.
552.73 Minimum requirements for automobile insurance policies.
552.74 Grounds for suspension.
552.75 Factors in suspending solicitation privileges.
552.76 Preliminary investigation.
552.77 Suspension approval.
552.78 ``Show cause'' hearing.
552.79 Suspension action.
552.80 Suspension period.
552.81 Agents or companies with suspended solicitation privileges.
552.82 Exercise of ``off limits'' authority.
552.83 Standards of fairness.

                  Subpart F_Fort Lewis Land Use Policy

552.84 Purpose.
552.85 Applicability.
552.86 References.
552.87 General.
552.88 Responsibilities.
552.89 Activities.
552.90 Permit office.
552.91 Individual permit procedures.
552.92 Group permit procedures.
552.93 Permit deadline and duration.
552.94 Area access procedures.
552.95 Compatible use.
552.96 Violations.
552.97 Communications.

                     Subpart G_Firearms and Weapons

552.98 Purpose.
552.99 Applicability.
552.100 Definitions.
552.101 Prohibitions.
552.102 Requirements for possession and use.
552.103 Requirements for carrying and use.
552.104 Disposition of confiscated/seized weapons.

   Subpart H_Regulation Controlling the Access to the Fort Lewis Main 
Cantonment Area and Prohibiting Certain Conduct Upon Fort Lewis Military 
                               Reservation

552.105 Purpose.
552.106 Applicability.

[[Page 265]]

552.107 References.
552.108 General.
552.109 Routine security controls.
552.110 Requests for exception.
552.111 Severability.

  Subpart I_Physical Security of Arms, Ammunition, and Explosives_Fort 
                            Lewis, Washington

552.112 Purpose.
552.113 References.
552.114 Violations.
552.115 Applicability.
552.116 Privately owned weapons--security.
552.117 Disposition of Commander's Letter of Authorization.
552.118 Issuance from unit arms room.
552.119 Registration and storage.
552.120 Possession and control.
552.121 Possession or retention of prohibited weapons.
552.122 Personnel not authorized to possess or retain personal weapons.
552.123 Storage of personal weapons other than firearms or handguns.
552.124 Transportation of privately owned weapons and ammunition.
552.125 Disposition of confiscated weapons.

Subpart J_Control of Firearms, Ammunition and Other Dangerous Weapons on 
                               Fort Gordon

552.126 Definitions.
552.127 Prohibitions.
552.128 Requirements for possession and use.
552.129 Requirements for carrying and use.
552.130 Disposition of confiscated/seized weapons.

  Subpart K_Restriction of Training Areas on the Installation of Fort 
                       Benjamin Harrison, Indiana

552.140 Purpose.
552.141 Applicability.
552.142 References.
552.143 Definitions.
552.144 Procedures.
552.145 Violations.

  Subpart L_Prohibited Personnel Practices on the Installation of Fort 
                         Jackson, South Carolina

552.150 Purpose.
552.151 Scope.
552.152 Prohibited practices.
552.153 Dissemination.

Appendix A to Subpart L--Partial List of Other Publications Applicable 
          on Fort Jackson Which List Prohibited Practices

 Subpart M_Land Use Policy for Fort Lewis, Yakima Training Center, and 
                             Camp Bonneville

552.160 Purpose.
552.161 References.
552.162 Abbreviations.
552.163 Applicability.
552.164 General.
552.165 Responsibilities.
552.166 Recreational use.
552.167 Activities.
552.168 Fort Lewis Area Access Office.
552.169 Yakima Training Center Area Access Office.
552.170 Camp Bonneville Area Access Office.
552.171 Compatible use.
552.172 Violations.

Appendix A to Subpart M of Part 552--DPCA Recreational Areas in Training 
          Areas
Appendix B to Subpart M of Part 552--Non-Permit Access Routes
Appendix C to Subpart M of Part 552--Authorized Activities for Maneuver 
          Training Area Access
Appendix D to Subpart M of Part 552--Unauthorized Activities in Maneuver 
          Training Areas
Appendix E to Subpart M of Part 552--References
Appendix F to Subpart M of Part 552--Abbreviations

Subpart N_Operation and Use of Fort Monroe, Virginia, Fishing Facilities

552.180 Purpose.
552.181 Applicability.
552.182 References.
552.183 Responsibilities.
552.184 Policy.
552.185 Eligibility.

Subpart O [Reserved]

 Subpart P_Protests, Picketing, and Other Similar Demonstrations on the 
            Installation of Aberdeen Proving Ground, Maryland

552.211 Purpose.
552.212 Scope.
552.213 Policy.
552.214 Procedures.
552.215 Responsibilities.
552.216 Violations.

Appendix A to Part 552--DPCA Recreational Areas in Training Areas
Appendix B to Part 552--Non-Permit Access Routes
Appendix C to Part 552--Authorized Activities for Fort Lewis Maneuver 
          Area Access

[[Page 266]]

Appendix D to Part 552--Unathorized Activities in Fort Lewis Maneuver 
          Areas

    Authority: 5 U.S.C. 301; 10 U.S.C. 3012, 15 U.S.C. 1601; 18 U.S.C. 
1382; 31 U.S.C. 71; 40 U.S.C. 258a; 41 U.S.C. 14; 50 U.S.C. 797.



Subpart A_Use of Department of the Army Real Estate Claims Founded Upon 
                                Contract



Sec. 552.16  Real estate claims founded upon contract.

    (a) Purpose. This regulation provides guidance in investigating and 
processing contractual claims involving real estate which are to be 
settled and adjusted by the General Accounting Office (GAO) according to 
the authority in paragraph (c) of this section. It is applicable to the 
active Army, Army National Guard, and the US Army Reserve.
    (b) Applicability. This regulation applies to the following classes 
of contractual claims.
    (1) Rent and payments for janitor, custodial, utility, and other 
similar contractual services.
    (2) Damages founded upon express or implied contract.
    (3) Permanent or recurring damages to real property situated in the 
United States or its territories, resulting in the Government taking of 
an interest in real estate for which compensation must be made according 
to the Fifth Amendment to the Constitution.
    (c) Statutory provision (except as otherwise provided by law). All 
claims and demands whatever by the Government of the United States or 
against it, and all accounts whatever in which the Government of the 
United States is concerned, either as debtor or creditor, shall be 
settled and adjusted in the GAO (31 U.S. Code 71). The GAO discharges 
its settlement and adjusting responsibilities--
    (1) Through the audit of transactions after payment.
    (2) By adjudication before payment is made or denied.
    (d) Claims not payable. The classes of claims that are not payable 
according to the authority in paragraph (c) of this section are--
    (1) Damages to real property sounding in tort and not constituting a 
taking.
    (2) Damages arising in foreign countries which could not be settled 
under chapter 10, AR 27-20, if otherwise applicable, because they--
    (i) Result from combat activities.
    (ii) Are waived or assumed by a foreign government.
    (iii) Are brought by a foreign national excluded in paragraph 10-
8b(1), AR 27-20.
    (3) Claims which must be settled by some other procedure according 
to statute, determination of GAO, or provision in the contract on which 
the claim is founded.
    (e) Claims payable under contract. When claims are founded on 
express or legally implied provisions of an existing written contract, 
and if liability and the amount thereof are certain and agreed between 
the parties, they should be paid according to the contract or 
supplemental agreement thereto. Rental claims based on still-continuing 
Government use and occupancy not under lease may be avoided by 
negotiation of a lease effective from the date Government occupancy 
begins.
    (f) Claims cognizable under other regulations. (1) The procedure 
believed to be in the best interest of the Government should be followed 
if a claim under this regulation is also cognizable under--
    (i) Chapter 3, AR 27-20 as a claim for damages incident to noncombat 
activities of the Army.
    (ii) Chapter 10, AR 27-20 as a foreign claim.
    (2) If a real estate claim under this regulation includes an 
incidental claim for damages to personal property not founded on 
contract, the entire claim may be--
    (i) Processed under this regulation.
    (ii) Processed separately under other regulations, believed to be in 
the best interest of the Government.
    (g) Claims to be submitted. Section 5 of title 4, GAO Manual for 
Guidance of Federal Agencies (cited as 4 GAO 5.1) lists the following 
categories of claims of a contractual nature to be submitted for 
settlement (letters of transmittal will indicate the applicable 
category):
    (1) Claims involving doubtful questions of law or fact. This will 
include any claims based upon a taking and

[[Page 267]]

contractual claims which could be settled administratively except for 
the doubt.
    (2) Claims required by statute, regulation, or decision of the 
Comptroller General to be submitted.
    (3) Reclaims of items for which payment under contract has been 
administratively denied, unless it is determined administratively that 
the action taken was clearly in error and properly can be corrected by 
the agency which denied the claim.
    (4) Claims barred by statute of limitation. These claims may be 
forwarded without investigation, except when needed to establish time of 
accrual.
    (h) Time for filing claims. Claims cognizable by GAO are barred if 
not received in that office within 6 years after the date of accrual. A 
claim which may be barred in the near future should be transmitted 
directly, preferably within 4 years of the date of accrual, to GAO for 
filing, with a request that it be returned for further processing.
    (i) Procedures. (1) Claims for investigation and report will be 
forwarded to the office of the Division of District Engineer having real 
estate responsibility over the area in which the involved real property 
is located. In the absence of such an office, the claims will be 
forwarded to the command responsible for the lease or other contract on 
which the claim is founded.
    (2) The responsible office--
    (i) Will appoint a claims officer to conduct the investigation and 
prepare the report as outlined in AR 27-20.
    (ii) When appropriate, may request a command more conveniently 
located to appoint the claims officer.
    (iii) Will have a staff attorney or staff judge advocate review the 
completed report.
    (iv) Will approve or disapprove the report.
    (v) Will forward the report (in three copies) through channels to 
the Chief of Engineers (HQDA DAEN-REM) WASH DC 20314).
    (3) The report will include--
    (i) The original signed claim, preferably but not necessarily on 
Standard Form 95 (Claim for Damage or Injury). It will be itemized when 
applicable, and for a sum certain.
    (ii) Any supporting evidence the claimant desires to submit.
    (iii) A certified voucher, stating the citation of funds to be 
charged if the responsible office submitting the claim recommends 
payment in whole or in part.
    (4) The letter of transmittal will include--
    (i) A brief statement of the essential facts giving rise to the 
claim.
    (ii) The category in paragraph (g) under which the claim is 
forwarded for settlement by GAO under 31 U.S. Code 71.
    (iii) A recommendation for allowance or disallowance with 
justification.
    (iv) Fiscal information required by paragraph 11-51, AR 37-103, 
including a citation of funds to be charged if payment is made.
    (v) A statement that the claim has not been and will not be paid 
except according to certification in the name of the Comptroller 
General.

(31 U.S.C. 71)

[44 FR 37911, June 29, 1979]



                        Subpart B_Post Commander



Sec. 552.18  Administration.

    (a) Purpose. This section outlines the duties and prescribes the 
general authority and general responsibilities of an installation 
commander.
    (b) Applicability. The regulations in this section are applicable to 
installations in the United States, and where appropriate, to oversea 
installations. Oversea commanders should consult with the appropriate 
judge advocate to determine to what extent the provisions of treaties or 
agreements, or the provisions of local law may make inapplicable, in 
whole, or in part, the provisions of these regulations.
    (c) General. The installation commander is responsible for the 
efficient and economical operation, administration, service, and supply 
of all individuals, units, and activities assigned to or under the 
jurisdiction of the installation unless specifically exempted by higher 
authority. Activities will be designated as ``attached activities'' only 
when specifically designated by higher authority. The installation 
commander will furnish base operation

[[Page 268]]

support to all Army tenant activities except when the Department of the 
Army has given approval for the tenant to perform base operation 
functions. Reimbursement for such support will be in accordance with 
applicable regulations.
    (d) Motor vehicle and traffic regulations. See AR 190-5, Motor 
Vehicle Traffic Supervision; AR 190-5-1, Registration of Privately Owned 
Motor Vehicles; AR 190-29, Minor Offenses and Uniform Violation 
Notices--Referred to US District Courts; AR 210-4, Carpooling and 
Parking Controls; AR 230-14, Registration and Licensing of 
Nonappropriated Fund Owned Vehicles; AR 385-55, Prevention of Motor 
Vehicle Accidents; and AR 600-55, Motor Vehicle Driver-Selection, 
Testing, and Licensing. A copy of the above documents may be obtained by 
writing to Headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314.
    (e) Firearms. The installation commander will publish regulations on 
the registration of privately owned firearms. See AR 608-4, Control and 
Registration of War Trophies and War Trophy Firearms. A copy of the 
above document may be obtained by writing to Headquarters, Department of 
the Army (DAAG-PAP-W), Washington, DC 20314.
    (f) Entry, exit, and personal search. The installation commander 
will establish rules that govern the entry into and exit from the 
installation and the search of persons and their possessions as listed 
in paragraphs (f) (1), (2), and (3) of this section.
    (1) The installation commander may direct authorized guard 
personnel, while in the performance of assigned duty, to search persons 
(including military personnel, employees, and visitors), and their 
possessions (including vehicles) when entering, during their stay, or 
when leaving facilities for which the Army has responsibility. These 
searches are authorized when based on probable cause that an offense has 
been committed or on military necessity. Instructions of commanders 
regarding searches should be specific and complete. When the person to 
be searched is a commissioned officer, or a warrant officer, the search 
should be conducted in private by or under the supervision of a 
commissioned officer, unless such is precluded by the exigencies of the 
situation. When the person to be searched is a noncommissioned officer, 
the search should be conducted in private by or under the supervision of 
a person of at least equal grade, unless such is precluded by the 
exigencies of the situation. If the situation precludes search by or 
under the supervision of an officer (or noncommissioned officer, as 
appropriate), the person conducting the search will notify a responsible 
commissioned officer (or noncommissioned officer, as appropriate), as 
soon as possible. Persons who are entering the installation should not 
be searched over their objection, but they may be denied the right of 
entry if they refuse to consent to the search. All persons entering 
facilities should be advised in advance (by a prominently displayed 
sign, AR 420-70, (Buildings and Structures)), that they are liable to 
search when entering the installation, while within the confines of the 
installation, or when leaving (AR 190-22, Search, Seizure and 
Disposition of Property). A copy of the above documents may be obtained 
by writing to headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314.
    (2) The installation commander may authorize and control hunting and 
fishing on a military installation under installation rules in 
accordance with applicable Federal, State, and local laws and Army 
regulations, and in harmony with cooperative plans with appropriate 
State and Federal conservation agencies (AR 420-74, Natural Resources--
Land, Forest, and Wildlife Management). To detect violations of these 
rules, special guards may be posted and authorized to search persons (or 
possessions, including vehicles of individuals), based on military 
necessity. The installation commander may eject violators of game laws 
or post regulations and prohibit their reentry under 18 U.S.C. 1382. 
Violations of State laws which apply to military reservations according 
to the provisions of section 13, title 18, U.S.C. (Assimilative Crimes 
Acts), may be referred to the United States Magistrate in accordance 
with AR 190-29, Minor Offenses and Uniform Violation Notices--Referred 
to United

[[Page 269]]

States District Courts. Reports of violations of game laws will be 
reported to Federal or State authorities. An installation commander may 
not require membership in a voluntary sundry fund activity as a 
prerequisite to hunting and fishing on the installation. Accounting for 
the collection and spending of fees for hunting and fishing permits is 
outlined in chapter 12, AR 37-108, General Accounting and Reporting for 
Finance and Accounting Offices. A copy of the above documents may be 
obtained by writing to Headquarters, Department of the Army (DAAG-PAP-
W), Washington, DC 20314.
    (3) When the installation commander considers that the circumstances 
warrant its use, DA Form 1818 (Individual Property Pass), will be used 
to authorize military and civilian personnel to carry Government or 
personal property onto an installation or to remove it from an 
installation.
    (4) Commanders will establish procedures to ensure than when blind 
persons are otherwise authorized to enter military facilities, their 
accompanying seeing-eye or guide dogs will not be denied entry. Such 
facilities include, but are not limited to: Cafeterias, snack bars, 
AAFES exchanges, retail food sales stores, medical treatment facilities, 
and recreational facilities. Seeing-eye or guide dogs will remain in 
guiding harness or on leash and under control of their blind masters at 
all times while in the facility. For purposes of safety and to prevent 
possible agitation of military police working dogs, seeing-eye or guide 
dogs will not be allowed in or around working dog kennels and 
facilities.
    (g) Official Personnel Register. DA Form 647 (Personnel Register), 
is a source document that will be used at the lowest level of command 
having responsibility for strength accounting. The official register 
will be used for registering military personnel on arrival at or on 
departure from Army installations on permanent change of station, leave, 
or temporary duty. DA Form 647 may also be used for recording passes, 
visitors, etc. Registration of visists of less than 12 hours will be at 
the discretion of the commander except that registrations will be 
required when visits are at a place where United States troops are on 
duty in connection with a civil disorder.
    (h) Outside employment of DA Personnel. See paragraph 2-6, AR 600-50 
Standards of Conduct for Department of the Army Personnel. A copy of 
this document may be obtained by writing to Headquarters, Department of 
the Army (DAAG-PAP-W), Washington, DC 20314.
    (i) Preference to blind persons in operating vending stands. As used 
in paragraphs (i) (1), (2), and (3) of this section, the term ``vending 
stand'' includes shelters, counters, shelving, display and wall cases, 
refrigerating apparatus, and other appropriate auxiliary equipment 
necessary for the vending of merchandise. The term ``vending machine'' 
means any coin-operated machine that automatically vends or delivers 
tangible personal property.
    (1) The installation commander will give preference to blind persons 
when granting permission to civilians to operate vending stands on 
installations where stands may be operated properly and satisfactorily 
by blind persons licensed by a State agency. Legal authority for such 
action is contained in the Randolph-Sheppard Vending Stand Act (20 
U.S.C. 2-107 et seq.). Commanders will cooperate with the appropriate 
State licensing agency in selecting the type, location, or relocation of 
vending stands to be operated by licensed blind persons, except that 
preference may be denied or revoked if the commander determines that--
    (i) Existing security measures relative to location of the vending 
stand or to the clearance of the blind operator cannot be followed.
    (ii) Vending stand standards relating to appearance, safety, 
sanitation, and efficient operation cannot be met.
    (iii) For any other reasons which would adversely affect the 
interests of the United States or would unduly inconvenience the 
Department of the Army. Issuance of such a permit will not be denied 
because of loss of revenue caused by granting a rent-free permit for 
operating a vending stand to a blind person. However, the permit will 
not be granted if in the opinion of the responsible commander such 
action would reduce revenue below the point necessary for maintaining an 
adequate morale

[[Page 270]]

and recreation program. The commander should consider the fact that 
funds derived from certain nonappropriated fund activities such as post 
exchanges, motion picture theaters, and post restaurants are used to 
supplement appropriated funds in conducting the morale and recreation 
program.
    (2) The preference established in paragraph (i)(1) of this section 
will be protected from the unfair or unreasonable competition of vending 
machines. No vending machine will be located within reasonable proximity 
of a vending stand that is operated by a licensed blind person if the 
vending machine vends articles of the same type sold at the stand, 
unless local needs require the placement of such a machine. If such is 
the case, the operation of, and income from the machine, will be assumed 
by the blind vending stand operator.
    (3) So far as is practicable, goods sold at vending stands that are 
operated by the blind will consist of newspapers, periodicals, 
confections, tobacco products, articles that are dispensed automatically 
or are in containers or wrappings in which they were placed before they 
were received by the vending stand, and other suitable articles that may 
be approved by the installation commander for each vending stand 
location.
    (4) If the commanders and State licensing agencies fail to reach an 
agreement on the granting of a permit for a vending stand, the 
revocation or modification of a permit, the suitability of the stand 
location, the assignment of vending machine proceeds, the methods of 
operation of the stand, or other terms of the permit (including articles 
which may be sold), the State licensing agency may appeal the 
disagreement, through channels, to the Secretary of the Army. Appeals 
will be filed by State licensing agencies with the installation 
commander who will conduct a complete investigation and will give the 
State licensing agency an opportunity to present information. The report 
of investigation with the appeal will be forwarded through channels to 
Headquarters, Department of the Army (DAPE-ZA), Washington, DC 20310, as 
soon as possible. A final decision by the Secretary of the Army will be 
rendered within 90 days of the filing of the appeal to the installation 
commander. Notification of the decision on the appeal and the action 
taken will be reported to the State licensing agency, the Department of 
Health, Education, and Welfare, and the Department of Defense (Manpower, 
Reserve Affairs, and Logistics).
    (j) [Reserved]
    (k) Request from private sector union representatives to enter 
installations. (1) When labor representatives request permission to 
enter military installations on which private contractor employees are 
engaged in contract work to conduct union business during working hours 
in connection with the contract between the government and the 
contractor by whom union members are employed, the installation 
commander may admit these representatives, provided--
    (i) The presence and activities of the labor representatives will 
not interfere with the progress of the contract work involved; and
    (ii) The entry of the representatives to the installation will not 
violate pertinent safety or security regulations.
    (2) Labor representatives are not authorized to engage in organizing 
activities, collective bargaining discussions, or other matters not 
directly connected with the Government contract on military 
installations. However, the installation commander may authorize labor 
representatives to enter the installation to distribute organizational 
literature and authorization cards to employees of private contractors, 
provided such distribution does not--
    (i) Occur in working areas or during working times;
    (ii) Interfere with contract performance;
    (iii) Interfere with the efficient operation of the installation; or
    (iv) Violate pertinent safety or security considerations.
    (3) The determination as to who is an appropriate labor 
representative should be made by the installation commander after 
consulting with his/her labor counselor or judge advocate. Nothing in 
this regulation, however, will be construed to prohibit private 
contractors' employees from

[[Page 271]]

distibuting organizational literature or authorization cards on 
installation property if such activity does not violate the conditions 
enumerated in paragraph (k)(2) of this section. Business offices or desk 
space for labor organizations on the installation is not authorized to 
be provided for solicitation of membership among contractors' employees, 
collection of dues, or other business of the labor organization not 
directly connected with the contract work. The providing of office or 
desk space for a contractor is authorized for routine functions by the 
working steward whose union duties are incidental to his/her assigned 
job and connected directly with the contract work.
    (4) Only the installation commander or a contracting officer can 
deny entry to a labor representative who seeks permission to enter the 
installation in accordance with paragraph (k) of this section. If a 
labor representative is denied entry for any reason, such denial will be 
reported to the Labor Advisor, Office of the Assistant Secretary of the 
Army (IL&FM), Washington, DC 20310. This report will include the reasons 
for denial, including--
    (5) The provisions of paragraphs (k), (1), (2), (3), and (4) of this 
section on organizations representing private contractors' employees 
should be distinguished from activities involving organization and 
representation of Federal civilian employees. See CPR 711 for the 
functions, duties and obligations of an installation commander regarding 
Federal civilian employee unions.
    (l) Publication of telephone directories. See chapter 5, AR 105-23. 
A copy of this document may be obtained by writing to Headquarters, 
Department of the Army (DAAG-PAP-W), Washington, DC 20314.
    (m) Observance of labor laws on military installations. (1) 
Installation and activity commanders will ensure that all his/her 
employers on the installation or activity are apprised of their 
obligation to comply with Federal, State, and local laws, including 
those relating to the employment of child labor. When an employer who is 
operating on the installation or activity is responsible to an authority 
other than the installation or activity commander, the commander will 
direct that the authority's representative apprise the employer of his/
her obligations regarding labor law. This applies to employers in all 
activities, including nonappropriated fund activities established as 
Federal instrumentalities according to AR 230-1, Nonappropriated Fund 
System, concessionaires of such activities, and other private employers. 
A copy of the above document may be obtained by writing to Headquarters, 
Department of the Army (DAAG-PAP-W), Washington, DC 20314.
    (2) Installation commander will cooperate fully with state or other 
governmental officials who bring to their attention complaints that 
children are employed on military installations or reservations under 
conditions that are detrimental to their health, safety, education, and 
well-being.
    (n) Hitchhiking. Hitchhiking is prohibited by the Army. This does 
not preclude acceptance of offers of rides voluntarily made by 
individuals or properly accredited organizations nor does it preclude 
the use of properly authorized and established share-the-ride or similar 
stations which may be sanctioned by local military authorities. For 
personal safety, personnel should exercise caution at facilities, for 
example, by accepting rides only from persons they know or by traveling 
in groups. Similarly, drivers should use discretion when offering rides 
to personnel at share-the-ride stations. Drivers are prohibited from 
picking up hitchhikers.
    (o) Employment of civilian food service personnel. See AR 30-1, The 
Army Food Service Program. A copy of this document may be obtained by 
writing to Headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314

[44 FR 7948, Feb. 8, 1979, as amended at 45 FR 73037, Nov. 4, 1980]



Sec. 552.19  Hunting and fishing permits.

    All permits to hunt, catch, trap, or kill any kind of game animal, 
game or nongame bird, or to fish on a military reservation or the waters 
thereof will be issued by the commanding officer.

[13 FR 6058, Oct. 15, 1948]

[[Page 272]]



  Subpart C_Entry Regulations for Certain Army Training Areas in Hawaii



Sec. 552.25  Entry regulations for certain Army training areas in Hawaii.

    (a) Purpose. (1) This regulation establishes procedures governing 
the entry onto certain Army training areas in Hawaii as defined in 
paragraph (d) of this section.
    (2) These procedures have been established to prevent the 
interruption of the use of these Army training areas by any person or 
persons. The continued and uninterrupted use of these training areas by 
the military is vital in order to maintain and to improve the combat 
readiness of the U.S. Armed Forces. In addition, conditions exist within 
these training areas which could be dangerous to any unauthorized 
persons who enter these areas.
    (b) Applicability. The procedures outlined in this regulation apply 
to all individuals except for soldiers and Army civilians of the United 
States who in performance of their official duties enter the training 
areas defined in paragraph (d) of this section.
    (c) References. Related publications are listed below:
    (1) Executive Order No. 11166 of 15 August 1964. (3 CFR, 1964-1965 
Comp., pp 219-220).
    (2) Executive Order No. 11167 of 15 August 1964. (3 CFR, 1964-1965 
Comp., pp 220-222).
    (3) Title 18, United States Code, section 1382.
    (4) Internal Security Act of 1950, section 21 (50 U.S.C. 797).
    (d) Definition. For the purpose of this regulation, ``certain Army 
training areas in Hawaii'' are defined as follows:
    (1) Makua Valley, Waianae, Oahu, Hawaii: That area reserved for 
military use by Executive Order No. 11166 (paragraph (c)(1) of this 
section).
    (2) Pohakuloa Training Area, Hawaii: That area reserved for military 
use by Executive Order No. 11167 (paragraph (c)(2) of this section).
    (e) Procedures. (1) Except for soldiers and Army civilians of the 
United States in the performance of their duties, entry onto Army 
training areas described in paragraph (d) of this section for any 
purpose whatsoever without the advance consent of the Commander, United 
States Army Support Command, Hawaii, or his authorized representative, 
is prohibited (paragraph (c)(3) and (c)(4) of this section).
    (2) Any person or group of persons desiring the advance consent of 
the Commander, United States Army Support Command, Hawaii, shall, in 
writing, submit a request to the following address: Commander, USASCH, 
ATTN: Chief of Staff, Fort Shafter, Hawaii 96858-5000.
    (3) Each request for entry will be considered on an individual basis 
weighing the operational and training commitments of the area involved, 
security, and safety with the purpose, size of party, duration of visit, 
destination, and the military resources which would be required by the 
granting of the request.
    (f) Violations. (1) Any person entering or remaining upon any 
training area described in paragraph (d) without the advance consent of 
the Commander, USASCH, or his authorized representative, shall be 
subject to the penalties prescribed by paragraph (c)(3) of this section, 
which provides in pertinent part: ``Whoever, within the jurisdiction of 
the United States, goes upon any military, naval * * * reservation, 
post, fort, arsenal, yard, station, or installation, for any purpose 
prohibited by law or lawful regulation * * * shall be fined not more 
than $500.00 or imprisoned not more than 6 months or both.''
    (2) Moreover, any person who willfully violates this regulation is 
subject to a fine not to exceed $5,000.00 or imprisonment for not more 
than 1 year or both as provided in paragraph (c)(4) of this section.
    (3) In addition, violation of this regulation by persons subject to 
the Uniform Code of Military Justice (10 U.S.C. 801-940) is a violation 
of Article 92 of the Uniform Code of Military Justice.

[52 FR 44393, Nov. 19, 1987]



        Subpart D_Acquisition of Real Estate and Interest Therein

    Source: 22 FR 9284, Nov. 21, 1957, unless otherwise noted.

[[Page 273]]



Sec. 552.30  Purpose.

    The regulations in Sec. Sec. 552.30 to 552.39 set forth the 
authority, policy, responsibility, and procedure for the acquisition of 
real estate and interests therein, for use for military purposes by the 
Department of the Army. The regulations of Sec. Sec. 552.30 to 552.39 
do not apply to Civil Works Projects which are under the supervision of 
the Chief of Engineers.



Sec. 552.31  Definitions.

    As used in Sec. Sec. 552.30 to 552.39, the following definitions 
apply:
    (a) Real estate. Real estate includes lands and interests therein, 
leaseholds, standing timber, buildings, improvements, and appurtenances 
thereto owned by the United States and under the control of the 
Department of the Army. It also includes piers, docks, warehouses, 
rights-of-way, and easements, whether temporary or permanent, and 
improvements permanently attached to and ordinarily considered real 
estate. It does not include machinery, equipment, or tools which have 
not been affixed to or which have been severed or removed from any such 
lands or buildings or may be so severed or removed without destroying 
the usefulness of the structures.
    (b) Installation. An installation is real estate and the 
improvements thereon which is under the control of the Department of the 
Army, at which functions of the Department of the Army are carried on, 
and which has been established by order of the Department of the Army. 
Real estate and the improvements thereon utilized by posts, camps, 
airfields, hospitals, depots, arsenals, industrial facilities, 
cemeteries, etc., generally will be designated as an installation where 
located separately, but where located contiguously or on the same 
reservation the combined property will usually be designated as one 
installation and the separate functions will be designated as activities 
at that installation. As used in the regulations in Sec. Sec. 552.30 to 
552.39, the term ``installation'' will include installations, 
subinstallations, and separate locations housing an activity.
    (c) Subinstallation. A subinstallation is real estate and the 
improvements thereon which is under the control of the Department of the 
Army, at which functions of the Department of the Army are carried on, 
and which has been assigned as a subinstallation by Department of the 
Army authority. Subinstallations are attached to installations for 
command and administrative purposes, although they are located 
separately.
    (d) Activity. An activity is a function or a group of related 
functions which may be carried on at an installation, a subinstallation, 
or a separate location which has not been designated as a Department of 
the Army installation or subinstallation.
    (e) Command installation. A command installation is any installation 
of the Department of the Army, including nonmanufacturing arsenals, 
primarily used or useful for activities of the Army other than for the 
production of materiel, munitions, or supplies.
    (f) Industrial installation. Any unit of real property under control 
of the Department of the Army (including structures on land owned by or 
leased to the United States, substantially equipped with production 
utilities and maintenance machinery, tools, equipment, and including 
housing and other supporting facilities built as an integral part of the 
installation) designed for the production of equipment, supplies, or 
materials for military use; or for the processing, production, or 
manufacturing of components of such items.
    (g) Lease. A lease is a conveyance of an interest in real estate for 
a term of years, revocable at will, or as otherwise provided in the 
instrument in consideration of a return of rent.
    (h) License. A license is a bare authority to do a specified act or 
acts upon the land of the licensor without possessing or acquiring any 
estate therein.
    (i) Easement. An easement is a conveyance of an interest in real 
estate for the purpose or purposes specified in the grant.



Sec. 552.32  Authority to acquire real estate and interests therein.

    While the Federal Government has the inherent power to acquire land 
for its constitutional purposes, this power can be exercised only at the 
discretion

[[Page 274]]

of Congress (Van Brocklin v. Tennessee, 117 U.S. 151; 29 L. Ed. 845; 6 
S. Ct. 670). No land shall be purchased on account of the United States, 
except under a law authorizing such purchase (R. S. 3736; 41 U.S.C. 14). 
No real estate not in Federal ownership shall be acquired by a military 
department, except as such acquisition is or shall be expressly 
authorized by law (section 501(b), Act July 27, 1954; Pub. L. 534, 83d 
Congress; 68 Stat. 560).



Sec. 552.33  Estates and methods of acquisition.

    (a) Title to non-Government-owned real estate will be by purchase, 
condemnation, donation (when the authorization act specifies donation), 
and exchange (when the authorization act specifies exchange).
    (b) Easements in non-Government-owned real estate are the same as in 
paragraph (a) of this section.
    (c) Licenses in non-Government-owned real estate are generally by 
donation, although a nonrevocable license might be acquired by purchase.
    (d) Leaseholds in non-Government-owned real estate will be by 
negotiation or condemnation. Leaseholds may give the Government 
exclusive use or may give the Government co-use with the owner for 
specific purposes.
    (e) Jurisdiction over Government-owned real estate will be by 
transfer, reassignment, withdrawal, and reservation.
    (f) Permits to use Government-owned real estate will be by 
instrument issued by another Government department or agency. Although 
in the nature of a license (may be revocable or nonrevocable), the 
instrument is designated as a ``permit'', since it relates to 
Government-owned real estate, to distinguish it from a ``license'' 
relating to non-Government-owned real estate.
    (g) Recapture of use of former Government-owned real estate which 
was disposed of subject to a ``National Security Clause,'' a ``National 
Emergency Clause,'' or a similar provision will be by letter from the 
Chief of Engineers to the owner of the property, based upon a directive 
from the Secretary of the Army or his designee.
    (h) Revestment of title to former Government-owned real estate which 
was disposed of subject to a reverter provision, such as a ``National 
Defense Purpose Clause'' will be by letter to the owner by the official 
of the department designated in the conveyance by the Government.
    (i) Procurement of options on real estate which is ``suitable and 
likely to be required'' in connection with a military public works 
project, prior to express authorization by law for the acquisition of 
said real estate will be by negotiation.
    (j) Extinguishment of third party interests in lands owned or 
controlled by the United States, such as outstanding oil, gas, and other 
mineral rights; grazing rights; timber rights; water rights; and 
easements for rights-of-way for highways, railroads, power lines, 
communication lines, water lines, and sewer lines will be the same as 
prescribed in paragraph (a) of this section. Payment for extinguishment 
of grazing rights or licenses on public domain or other property owned 
by or under the control of the United States is made pursuant to Act 
July 9, 1942; 56 Stat. 654; as amended by Act May 28, 1948; 62 Stat. 
277; and as further amended by Act October 29, 1949; 63 Stat. 996 (43 
U.S.C. 315q and r).



Sec. 552.34  Policies relative to new acquisition.

    (a) Present holdings inadequate for essential mission. No request to 
acquire real estate by transfer from Navy or Air Force or from another 
Government agency, or by purchase, lease or condemnation will be 
considered or approved unless it is established that:
    (1) The activity to be accommodated is essential to an assigned 
mission.
    (2) Real property under the control of the Army is inadequate to 
satisfy these requirements.
    (3) No real property under the control of the Navy or Air Force or 
other Federal agencies is suitable and available for use by the Army on 
a permit or joint use basis.
    (b) Order of priority for method of acquisition. If the activity 
qualifies as essential to an assigned mission but the need cannot be 
filled by the use of other Army property or other Federal property on a 
permit or joint use basis,

[[Page 275]]

the following alternatives will be considered in the order listed:
    (1) Donation or long-term nominal rental lease.
    (2) Transfer from Navy or Air Force. Acquisition of lands excess to 
the requirements of other military departments.
    (3) Recapture of use.
    (4) Public Domain. Withdrawal from the public domain for military 
use. (Pub. L. 85-337, Feb. 28, 1958 (72 Stat. 28) requires that an Act 
of Congress be obtained to withdraw, reserve, or restrict for defense 
purposes more than 5,000 acres of the public domain.)
    (5) Acquisition by exchange. Exercise of existing authorities for 
the exchange of Government-owned real property for non-Government-owned 
real property that is by type or location adaptable to the military 
need.
    (6) Transfer from other Federal agencies. Acquisition of lands 
excess to the requirement of Federal agencies other than military 
departments.
    (7) Acquisition by purchase, lease or condemnation.
    (c) Current requirements given preference. In considering the use of 
Army real property by another military department, current requirements 
will, in the absence of unusual circumstances, be given preference over 
future needs and mobilization requirements. If the current requirement 
will not continue through mobilization, care must be exercised to avoid 
modification of the property in a manner that would prevent its timely 
return to the holding department to meet the mobilization requirement. 
If it is contemplated that the current requirement will continue through 
mobilization, the property may be modified as required and the 
mobilization plans of the military departments concerned should be 
changed accordingly.
    (d) Firm requirements and minimum acquisition. Requirements in each 
individual case will be firmly determined and only the minimum amount of 
property necessary will be acquired.
    (e) Factors considered insufficient justification for acquisition by 
lease. Desirability of location in an urban area, reduced travel time 
for employees or business representatives, nominal savings in 
transportation costs, environmental considerations (such as noise or 
traffic), or desirability of single unit offices instead of split 
locations in close proximity will not be considered sufficient 
justification for acquiring leased space or facilities when Government-
owned property is available. For exceptions, see paragraph (f) of this 
section.
    (f) Special location considerations. Acquisition of title or a 
leasehold interest in real property may be justified where it is 
demonstrated that the function to be accommodated is an essential 
activity and the geographic location thereof in other than Government-
owned space is vital to the accomplishment of the assigned mission. 
Examples that may fall in this group are recruiting stations (exclusive 
of kindred examining and induction units), airbases, air defense sites, 
and sites for construction of facilities for Reserve Components of the 
Armed Forces.
    (g) Army Reserve training sites. In general, title to lands will not 
be acquired for exclusive use as training sites. Training sites will be 
acquired by one of the following means in the order listed:
    (1) Use of lands under the control of the Department of the Army 
regardless of the agency maintaining jurisdiction, to include class II 
and industrial installations and other Reserve Component facilities, see 
title 10 U.S.C. 2331 and 2237.
    (2) Use of reservoir lands of Civil Works Projects. By informal 
agreement with the Resident Engineer or Manager (when training 
activities do not involve exclusive use, construction, or destruction of 
vegetation) or by permit from the District Engineer (for other 
activities when such activities are compatible with the operation and 
maintenance of the project and will not endanger the use by the general 
public of public access areas).
    (3) Use of lands, by permit or otherwise, under the control of the 
other military departments.
    (4) Use of lands by permit of other Government-owned land, including 
the public domain.
    (5) Use by license or nominal rental lease of local, county, or 
State-owned public lands.

[[Page 276]]

    (6) Use of privately owned land by short-term co-use lease under the 
authority granted in Sec. 552.39.
    (7) Use of non-Government-owned land by lease.
    (8) Acquisition of lands excess to the requirements of the other 
military departments.
    (9) Acquisition of lands excess to the requirements of Federal 
agencies other than the military departments.
    (10) Acquisition of the non-Government-owned land.
    (11) As a rule of thumb, lands will not be acquired for training 
from any source when the value of the land exceeds that of rural farm 
land in the area.
    (h) Public notice and release of information relative to proposed 
real estate acquisitions. It is the policy of the Department of the Army 
to give notice to the public and to release information to the public as 
early as possible (at the site selection stage) and as completely as 
possible, consistent with existing regulations. Even though opposition 
may develop in some cases because of early release of information as to 
proposed acquisitions, application of this policy should more often 
result in favorable public relations, general public support of proposed 
acquisitions, and material assistance in the selection of sites which 
will fulfill the military requirement and still have the least impact on 
the civilian economy. This policy will permit consideration of public 
preferences in the establishment of military facilities. Section 302 of 
the Act of July 14, 1960; Pub. L. 86-645, which is applicable to 
military as well as water resources public works projects, provides for 
dissemination of information on large new installations.
    (1) Restrictions relating to Agency Budget Estimates and 
Presidential Budget Recommendations. Bureau of the Budget Circular No. 
A-10, as revised, places restrictions on disclosure of Agency Budget 
Estimates and Presidential Budget Recommendations. It provides that 
budget recommendations and estimates are administratively confidential 
until made public through formal transmittal of the budget to Congress. 
Public notice and release of information relative to proposed real 
property acquisitions will, therefore, exclude any information as to 
whether the proposed acquisition has been included in a pending budget 
not yet formally transmitted to the Congress or is to be included in a 
future budget. Public notice and release of information will be on the 
basis of ``advance planning.''
    (2) General application and exceptions. Non-Government-owned real 
property generally is acquired by negotiations, based on its fair market 
value as established by Government appraisal and regardless of who the 
owner is, how much the owner paid for the property, and how long the 
owner has owned the property. For this reason, public notice and release 
of information should not tend normally to increase the value of the 
land involved or create speculation therein. Experience has proved that 
interest of the Government in specific real property normally tends to 
discourage trafficking therein. Though normally the release of 
information should not result in subsequent disadvantage to the 
Government, information will not be released in any specific case where 
it might have that result. AR 345-15 applies to the acquisition of real 
property only in those instances in which the release of advance 
information on proposed plans might provide undue discriminatory 
advantage to private or personal interests.
    (3) Application to Army Reserve facilities. During the preliminary 
site selection stage for Army Reserve facilities, the Army commander's 
representative will contact responsible local public officials to 
explain the nature of the proposed facility and to obtain their 
concurrence in the Army's acquisition and use of the site tentatively 
selected. Such a statement, including the names and titles of officials 
contacted, will be furnished by the Army commander to the District 
Engineer for inclusion in the Real Estate Planning Report. Release of 
information on Army Reserve centers will be made only by an authorized 
representative of the Army commander.
    (i) Use of unappropriated and nonnavigable water. It is the policy 
of the Department of the Army to utilize unappropriated and nonnavigable 
water upon or under lands under jurisdiction in such a manner as is 
consonant with

[[Page 277]]

the purposes of water laws which have been enacted by the several 
States.
    (j) Permanent construction. If permanent construction, defined as 
that which produces a building suitable and appropriate to serve a 
specific purpose for a maximum period of time (at least 25 years) and 
with a minimum of maintenance, is to be constructed by the Government, 
the Government must either hold or acquire title to the land (inclusive 
of all mineral rights and improvements) or a permanent easement 
interest, with the following exceptions:
    (1) Right of reuse by exercise of National Security Clause. 
Property, including land or buildings, over which the Government 
currently holds the right of reuse by exercise of the National Security 
Clause.
    (2) Right of reuse by exercise of National Emergency Use Provision. 
Property, including land or buildings, over which the Government holds 
the right of reuse by exercise of a National Emergency Use Provision. 
Inasmuch as such rights inure to the Government only during the period 
or periods of national emergency as may be declared by the President or 
the Congress and are extinguished by the termination thereof, every 
effort will be made to negotiate a lease covering such property under 
terms that would provide for the right of continuous possession by the 
Government for a minimum of 25 years.
    (3) Rights-of-way. Property required as a site for installation of 
utility lines and necessary appurtenances thereto, provided a long-term 
easement or lease can be secured at a consideration of $1 per term or 
per annum.
    (4) Airbase. Property required for airbases, provided such property 
can be acquired by lease containing provisions for:
    (i) Right of continuous use by the Government under firm term or 
right of renewal, for a minimum of 50 years.
    (ii) A rental consideration of $1 per term or per annum.
    (iii) Reserving to the Government title to all improvements to be 
placed on the land and the right to dispose of such improvements by sale 
or abandonment.
    (iv) Waiver by the lessor of any and all claims for restoration of 
the leased premises.
    (v) Use of the property for ``Government purposes'' rather than for 
a specific purpose.
    (5) Reserve Components facilities. Property required for facilities 
for the Reserve Components of the Armed Forces, provided such property 
can be acquired by lease containing provisions detailed in paragraphs 
(j)(4) (i), (ii), (iii), and (iv) of this section. When possible the 
insertion in a lease of provision restricting the use of the land to a 
specific purpose will be avoided; use of a term as ``Government 
purposes'' should be employed whenever possible.
    (6) Air defense sites. Property required for air defense sites 
provided such property can be acquired by lease containing provisions 
detailed in paragraphs (j)(4) (i), (ii), and (iv) of this section and in 
addition thereto a right of continuous use by the Government under a 
firm term or right of renewal for as long as required for defense 
purposes.
    (7) Exception by Assistant Secretary of Defense (Installations and 
Logistics). Where leases (for airbases, facilities for Reserve 
Components of the Armed Forces, or air defense sites) can be obtained 
containing some but not all of the above-listed provisions or where 
leases (for all other types of installations upon which permanent 
construction is to be placed by the Government) can be obtained 
containing similar provisions and it is considered to be to the best 
interest of the Government to acquire a lesser interest than fee title, 
it will be necessary to obtain approval from the Assistant Secretary of 
Defense (Installations and Logistics) prior to placing permanent 
construction thereon.
    (8) Construction projects not in excess of $25,000. Construction 
projects estimated to cost not in excess of $25,000 will not be 
considered as permanent construction for purposes of applying the above 
policy.
    (9) Industrial installations. See paragraph (l) of this section.
    (k) No permanent construction. Where temporary construction or no 
construction is to be placed by the Government, acquisition of a lesser 
interest

[[Page 278]]

(leasehold, easement, license, as appropriate) will generally be 
considered to be in the best interest of the Government, with the 
following exceptions:
    (1) Cost of construction. Where any proposed temporary construction 
to be placed by the Government has an estimated cost equal to or in 
excess of the current market value of the property.
    (2) Rent plus restoration. Where the calculated period of required 
use is of sufficient duration that the sum expended for rentals over 
this period plus restoration, if required, would exceed 50 percent of 
the current market value of the property. (Apply calculated period of 
required use or 20 years, whichever is less.)
    (3) Easement costing 75 percent of fee value. Where the cost of 
acquiring an easement right exceeds 75 percent of the current fair 
market value of the property.
    (l) Industrial installations--(1) Definitions. Industrial facilities 
as used herein are defined as plants, buildings, utilities, 
improvements, and additions and appurtenances thereto used for military 
production and related purposes, including testing and development. 
Nonseverable industrial facilities as used herein are defined as 
industrial facilities located on other than Government-owned land, and 
which, after erection or installation, cannot be removed without 
substantial loss of value or damage thereto, or to the premises where 
installed.
    (2) Policy. Industrial facilities will be located on land owned by 
the Government or in which the Government has a permanent, disposable 
interest. Nonseverable industrial facilities will be located on land in 
which the Government has a disposable interest equal in term to the 
estimated useful life of the facilities, unless the Head of a Procuring 
Activity, with consideration to any nonrecoverable costs involved, 
determines that such location is not feasible. If the Head of a 
Procuring Activity makes this determination, he may authorize the 
location of such facilities on other land, provided:
    (i) The estimated useful life of the facilities will not extend 
beyond the contract under which the facilities are installed or the 
completion of the work for which the facilities are provided; or
    (ii) The contractor agrees to purchase the facilities upon the end 
of the facilities contract at the acquisition cost of the facilities, 
less depreciation; or
    (iii) The Secretary approves other provisions as being in the 
interest of national defense.
    (iv) If location on land in which the Government does not have a 
disposable interest, as above set out, is authorized under paragraphs 
(l)(2)(i), (ii), or (iii) of this section, the Government must have the 
right to abandon the facilities in place, with no obligation to restore 
or rehabilitate the facilities or the premises on which they are 
located.
    (m) Commercial and industrial type facilities--(1) Policy. Privately 
owned or Government-owned and privately operated commercial and 
industrial type facilities will be used to the greatest extent 
practicable, recognizing the basic military necessity for integrated, 
self-sustaining units responsible to command and the necessity for 
operating anywhere in the world. It is the policy of the Department of 
the Army not to engage in the operation of industrial or commercial type 
facilities unless it can be demonstrated that it is necessary for the 
Government itself to perform the required work or service.
    (2) Definition. Commercial and industrial type facilities are 
defined as those devoted to an activity which normally might be 
performed by private industry (except commissaries, post exchanges, and 
nonappropriated fund activities) including, but not limited to, 
warehouses, motor repair shops, bakeries, laundries, and drycleaning 
facilities.
    (n) Department of Defense policy relative to liaison with Governor 
of Commonwealth of Puerto Rico. By letter dated August 19, 1953, the 
Secretary of Defense informed the Governor of the Commonwealth of Puerto 
Rico that the Department of Defense would establish liaison with the 
Governor to coordinate all military requirements for land acquisition in 
Puerto Rico. By memorandum dated August 19, 1953, the Secretary of 
Defense instructed that such liaison would be established under the 
direction of the Department of the Army, in coordination with the other 
interested services. On September 8,

[[Page 279]]

1953, the Department of the Army requested the Commander in Chief, 
Caribbean Command, to establish such liaison. Liaison is being 
maintained locally between the Commandant of the Caribbean Sea Frontier 
and the Chairman of the Puerto Rico Planning Board. The liason applies 
to the proposed acquisition of title or any interest in land which is 
other than (Federal) Government-owned land. In all cases, liaison action 
will be initiated during the advance planning or site selection stages. 
The purpose is to give Puerto Rican officials advance notice of military 
real property requirements and to give them an opportunity to suggest 
suitable alternatives in an effort to improve public relations with 
Puerto Rican officials, landowners, and the general public.

[27 FR 6140, June 29, 1962]



Sec. 552.35  Rights-of-entry for survey and exploration.

    (a) Voluntary. Where it is necessary to enter upon non-Government-
owned real estate during site selection, particularly for the purpose of 
conducting topographic surveys and test borings, the appropriate 
division or district engineer will negotiate rights-of-entry for survey 
and exploration. The instrument is in the nature of a license which does 
not convey an interest in land but precludes the entry from being a 
trespass. Since the entry is for a limited purpose and for a relatively 
short period of time, the landowner is not offered rental for the 
privileges requested. Where the landowner insists upon payment for the 
privileges requested, district engineers are authorized to negotiate 
short-term co-use leases, within the limits of existing regulations.
    (b) Involuntary. Where rights-of-entry for survey and exploration or 
short-term co-use leases cannot be negotiated, the right-of-entry may be 
obtained through the institution of proceedings for the condemnation of 
a short-term co-use leasehold interest. This action is taken only where 
it can be shown that the entry is imperative and that it is impossible 
to negotiate a voluntary right-of-entry or short-term co-use lease.



Sec. 552.36  Rights-of-entry for construction.

    (a) When authorized. Rights-of-entry for construction will be 
obtained by the district engineer only after a real estate directive or 
authorization to lease has been issued and then only when the 
construction schedule does not allow sufficient time to complete 
negotiations for an option to purchase or for a lease, as appropriate.
    (b) Involuntary. Where a right-of-entry for construction cannot be 
negotiated, under the circumstances set forth in paragraph (a) of this 
section, a right-of-entry will be obtained through the institution of 
proceedings for the condemnation of fee title, an easement interest, or 
a leasehold interest, as appropriate.



Sec. 552.37  Acquisition by Chief of Engineers.

    (a) Statutory authority. The Chief of Engineers, under the direction 
of the Secretary of the Army, is charged with the acquisition of all 
real estate for the use of the Department of the Army (10 U.S.C. 3038).
    (b) Scope of responsibility. This authority is exercised by the 
Chief of Engineers, acting for the Secretary of the Army, in the 
acquisition of all real estate and interests therein for the use of the 
Department of the Army in continental United States, Territories, 
possessions, and the Commonwealth of Puerto Rico.
    (c) Delegated authority. The Chief of Engineers or his duly 
authorized representative has authority to approve, for the Secretary of 
the Army:
    (1) Fee, easement, and license acquisitions which do not exceed 
$5,000 for any one parcel and which constitute small tracts of 
additional land needed in connection with projects for which final 
Department of the Army, Department of Defense, and/or Congressional 
approval has been obtained, or which constitute rights-of-way for roads, 
railroads, and utility lines necessary to the construction, maintenance, 
and operation of an approved project.
    (2) Leasehold acquisition where the estimated annual rental for any 
single leasehold does not exceed $25,000 and the acquisition is not 
controversial,

[[Page 280]]

unusual, or inconsistent with Department of Army policies.
    (3) Renewal or extension of leaseholds.
    (4) Acquisition by permit of the right to use real property of 
another Government department or agency, except as to ``general 
purpose'' space from the General Services Administration and the Post 
Office Department and all space in the metropolitan District of Columbia 
area.
    (d) Minor boundary changes. The Chief of Engineers, in accomplishing 
acquisition in accordance with Department of Defense and Department of 
the Army policies and with real estate directives and authorizations to 
lease issued by the Secretary of the Army or his designee, is authorized 
to make minor boundary changes to avoid severance damages, by including 
or excluding small tracts of land which will not decrease the usefulness 
of the area for the purpose for which it is being acquired.
    (e) Responsibility for all negotiations. To avoid any possibility of 
misunderstanding by property owners and resultant embarrassment to the 
Department of the Army, under no circumstances will commitments be made 
either by negotiation or by dissemination of information to property 
owners, by any authority other than the Chief of Engineers. This is not 
intended to restrict the public notice and release of general 
information as set forth in Sec. 552.34(h).
    (f) Approval of title. The written opinion of the Attorney General, 
in favor of the validity of the title, will be obtained for any site or 
land purchased by the United States. Unless expressly waived by the 
pertinent authorization act or other act of Congress, this opinion will 
be obtained prior to the expenditure of public money upon such site or 
land (section 355, as amended, of the Revised Statutes; 50 U.S.C. 175) 
except:
    (1) Easements acquired for military purposes. (By agreement with the 
Attorney General, his opinion is obtained only in acquiring easements at 
a cost in excess of $100.)
    (2) Leases and licenses.
    (3) Jurisdiction of Government-owned land by transfer or use of 
Government-owned land by permit.
    (g) Furnishing title evidence. The Chief of Engineers, acting under 
the authority of the Secretary of the Army, will procure any evidence of 
title required by the Attorney General. The expense of procurement, 
except where otherwise authorized by law or provided by contract, may be 
paid out of the appropriations for the acquisition of land or out of the 
appropriations made for the contingencies of the Department of the Army 
(section 355, as amended, of the Revised Statutes; 50 U.S.C. 175).
    (h) Condemnation--(1) General. Fee title, easements, or leasehold 
interests may be acquired by the exercise of right of eminent domain 
through the institution of condemnation proceedings. These proceedings 
are instituted in the United States District Courts by the Attorney 
General, based upon requests from the Secretary of the Army. Normally, 
condemnation proceedings are instituted only after agreement cannot be 
reached with landowners or other parties in interest as to the value of 
the real property or interest therein to be acquired by the Government; 
where there are title defects which do not permit acquisition by 
purchase or lease, as appropriate; or where construction schedules or 
occupancy dates do not allow the Chief of Engineers sufficient time to 
conduct normal negotiations for options to purchase or lease.
    (2) Vesting of title or other interest in the United States. Under a 
condemnation proceeding, title, or other interest condemned vests in the 
United States upon entry of final judgment in the proceeding. Where it 
is necessary to have title or other interest vested in the United States 
at an earlier date, a Declaration of Taking, signed by the Secretary of 
the Army, may be filed in the proceeding, with the petition or at any 
time before final judgment. Upon the filing of the Declaration of Taking 
and deposit in the court of the amount of estimated compensation, title 
or other interest condemned vests in the United States (Act of February 
26, 1931; 46 Stat. 1421; 40 U.S.C. 258a).

[22 FR 9284, Nov. 21, 1957, as amended at 27 FR 6142, June 29, 1962]

[[Page 281]]



Sec. 552.38  Acquisition of maneuver agreements for Army commanders.

    (a) Authorization. After a maneuver is authorized by the Department 
of the Army, the Army commander will select the specific areas desired 
for use.
    (b) Real estate coverage. Real estate coverage will be in the form 
of agreements with landowners, granting the right to conduct maneuvers 
at a given time or periodically. Short-term leases for exclusive use may 
also be acquired for special areas (such as headquarters areas, radio 
relay sites, base camp sites, field hospital sites, and supply dumps) 
and buildings needed for warehouses, ordnance shops and similar purposes 
directly related to the maneuver. Permits will also be obtained to cover 
the use of lands under the jurisdiction of another Government department 
or agency.
    (c) Responsibility for negotiation and restoration. The appropriate 
division or district engineer will be responsible for negotiating 
maneuver agreements and short-term leases and, after the maneuver is 
completed, will be responsible for negotiating restoration settlements 
and/or releases, as appropriate.



Sec. 552.39  Acquisition of short-term leases by local commanding officers.

    Local commanding officers are authorized, without approval by higher 
authority, to make leases of camp sites, buildings, and grounds, for 
troops; office and storage space for small detachments; garage or 
parking space; space for recruiting stations; and land or space for 
similar purposes, provided:
    (a) Funds are available to the local commanding officer,
    (b) Rental consideration conforms to the prevailing rate in the 
locality,
    (c) The premises are to be occupied not longer than 3 months or in 
the case of Reserve training sites, not more than 90 days per year,
    (d) Rental for the entire period of occupancy does not exceed $500, 
and
    (e) Clearance is made with the General Services Administration, 
where required.

[22 FR 9284, Nov. 21, 1957, as amended at 23 FR 10536, Dec. 31, 1958]



             Subpart E_Solicitation on Military Reservations

    Authority: Sections 552.50 through 552.83 issued under 15 U.S.C. 
1601.

    Source: 45 FR 73037, Nov. 4, 1980, unless otherwise noted.



Sec. 552.50  Purpose.

    This regulation--
    (a) Prescribes general policy on the solicitation and sale of all 
goods, services, and commodities, including all types of insurance, on 
military installations. These are sold or solicited by dealers, 
tradesmen, and their agents.
    (b) Prescribes procedures for suspension of solicitation privileges.
    (c) Prescribes policies and procedures for investigative and 
enforcement actions.
    (d) Permits representatives of credit unions, banks, and approved 
non-profit associations to conduct national educational programs on--
    (1) Insurance, estate planning, savings, and budgeting, and
    (2) The protection and remedies afforded consumers under the Truth-
in-Lending Act.



Sec. 552.51  Applicability.

    (a) This regulation applies to--
    (1) All Department of the Army military and civilian personnel, 
including Army National Guard and Army Reserve personnel on active duty 
or annual training.
    (2) Individuals seeking to conduct commercial solicitation on 
military installations, including controlled housing areas. They will 
also be governed by regulations and controls of the local commander and, 
in overseas areas, by regulations of the unified or specified commander. 
They must also observe applicable laws, regulations, and agreements of 
the host country.
    (b) The provisions of this regulation do not apply to--
    (1) Commercial companies that furnish services to military 
installations (such as deliveries of milk, bread, and laundry) when they 
are authorized by the installation commander.
    (2) An individual who sells his own personal property or privately 
owned dwelling.

[[Page 282]]



Sec. 552.52  Explanation of terms.

    (a) Agent. Anyone who solicits the ordering or purchasing of goods, 
services, or commodities in exchange for money. ``Agent'' includes an 
individual who receives remuneration as a salesman for an insurer or 
whose remuneration is dependent on volume of sales or the making of 
sales.
    (b) Solicitation. The conduct of any private business, including the 
offering and sale of insurance on a military installation, whether 
initiated by the seller or the buyer. (Solicitation on installations is 
a privilege as distinguished from a right, and its control is a 
responsibility vested in the installation commander, subject to 
compliance with applicable regulations.)
    (c) Door-to-door solicitation. A sales method whereby an agent 
proceeds randomly or selectively from household to household without 
specific prior appointments or invitations. Door-to-door solicitation is 
not permitted on Army installations.
    (d) Specific appointment. A prearranged appointment that has been 
agreed upon by both parties and is definite as to place and time.
    (e) Insurer. Any company or association engaged in the business of 
selling insurance policies to Department of Defense (DOD) personnel.
    (f) Insurance carrier. An insurance company issuing insurance 
through an association or reinsuring or coinsuring such insurance.
    (g) Insurance policy. A policy or certificate of insurance issued by 
an insurer or evidence of insurance coverage issued by a self-insured 
association.
    (h) DOD personnel. Unless stated otherwise, such personnel means all 
active duty officer and enlisted members, and civilian employees of the 
Armed Forces. This includes Government employees of all the offices, 
agencies, and departments carrying on functions on a Defense 
installation, including non-appropriated fund instrumentalities.



Sec. 552.53  Regulatory requirements.

    Commanders may issue regulations governing solicitation within their 
commands and on their installations. These regulations will avoid 
discriminatory requirements which could eliminate or restrict 
competition. When there is a clear need to prescribe more restrictive 
requirements for solicitation than those in this regulation or the 
regulations of the major commander, these additional requirements or 
restrictions must first be reviewed and confirmed by The Adjutant 
General Center (DAAG-PSI), or by the overseas commander.



Sec. 552.54  Solicitation.

    The installation commanders may permit solicitation and transaction 
of commercial business on military installations. These solicitations 
and transactions must conform to installation regulations (CONUS and 
overseas) and must not interfere with military activities. No person may 
enter an installation and transact commercial business as a matter of 
right.



Sec. 552.55  Restrictions.

    To maintain discipline; protect property; and safeguard the health, 
morale, and welfare of his personnel, the installation commander may 
impose reasonable restrictions on the character and conduct of 
commercial activities. Members of the Armed Forces must not be subjected 
to fraudulent, usurious, or unethical business practices. Reasonable and 
consistent standards must be applied to each company and its agents in 
their conduct of commercial transactions on the installation.



Sec. 552.56  Licensing requirements.

    To transact personal commercial business on military installations 
in the United States, its territories, and the Commonwealth of Puerto 
Rico, individuals must present, on demand, to the installation 
commander, or his designee, documentary evidence that the company and 
its agents meet the licensing requirements of the State in which the 
installation is located. They must also meet any other applicable 
regulatory requirements imposed by civil authorities (Federal, State, 
county, or municipality). For ease of administration, the installation 
commander will issue a temporary permit to agents who meet these 
requirements.

[[Page 283]]



Sec. 552.57  Authorization to solicit.

    (a) Solicitation must be authorized by the installation commander. A 
specific appointment must be made with the individual and must be 
conducted in family quarters or in other areas designated by the 
installation commander. Before issuing a permit to solicit, the 
commander will require and review a statement of past employment. The 
commander will also determine, if practicable, whether the agent is 
employed by a reputable firm.
    (b) Certain companies seeking solicitation privileges on military 
installations may arrange personal demonstrations of their products at 
social gatherings and advise potential customers on their use. If these 
added services are provided, even though the merchandise sold by these 
companies is similar to that stocked by the post exchange, the 
installation commander may authorize solicitation privileges. Requests 
for this type of solicitation privilege will be coordinated with the 
local Army and Air Force Exchange Service representative. See paragraph 
3-2, Army Regulation 60-10.



Sec. 552.58  Other transactions.

    Commercial transactions with other than individuals (such as 
nonappropriated fund activities) are restricted to the office of the 
custodian of the specific fund activity. Business will be conducted 
during normal duty hours.



Sec. 552.59  Granting solicitation privileges.

    (a) Authorizations (permits) to solicit on Army installations will 
be in writing and will be valid for periods of 1 year or less.
    (b) Particular caution must be taken when granting solicitation 
permission. The impression that permission is official indorsement or 
that the Department of the Army favors, sponsors, or recommends the 
companies, agents, or the policies offered for sale must not be 
conveyed. As continuing policy, the Department of the Army does not 
indorse any seller or product.



Sec. 552.60  Supervision of on-post commercial activities.

    (a) General. (1) Installation commanders will ensure that all agents 
are given equal opportunity for interviews, by appointment, at the 
designated areas.
    (2) DOD personnel will not act in any official or business capacity, 
either directly or indirectly, as liaison with agents to arrange 
appointments.
    (3) Home address of members of the command or unit will not be given 
to commercial enterprises or individuals engaged in commercial 
solicitation, except when required by Army Regulation 340-17 and Army 
Regulation 340-21. The written consent of the individual must be 
obtained first.
    (b) Hours and location for solicitation. (1) Military personnel and 
their dependents will be solicited individually, by specific 
appointment, and at hours designated by the installation commander or 
his designee. Appointments will not interfere with any military duty. 
Door-to-door solicitation without a prior appointment, including 
solicitation by personnel whose ultimate purpose is to obtain sales 
(e.g., soliciting future appointments), is prohibited. Solicitors may 
contact prospective clients initially by methods such as advertising, 
direct mail, and telephone.
    (2) Commanders will provide one or more appropriate locations on the 
installation where agents may interview prospective purchasers. If space 
and other factors dictate limiting the number of agents who may use 
designated interviewing areas, the installation commander may publish 
policy covering this matter.
    (c) Regulations to be read by solicitors. A conspicuous notice of 
installation regulations will be posted in a form and a place easily 
accessible to all those conducting on-post commercial activities. Each 
agent authorized to solicit must read this notice and appropriate 
installation regulations. Copies will be made available on 
installations. When practicable, as determined by the installation 
commander, persons conducting on-base commercial activities will be 
furnished a copy of the applicable regulations. Each agent seeking a 
permit must acknowledge, in writing,

[[Page 284]]

that he has read the regulations, understands them, and further 
understands that any violation or noncompliance may result in suspension 
of the solicitation privilege for himself, his employer, or both.
    (d) Forbidden solicitation practices. Installation commanders will 
prohibit the following:
    (1) Solicitation during enlistment or induction processing or during 
basic combat training, and within the first half of the one station unit 
training cycle.
    (2) Solicitation of ``mass,'' group, or ``captive'' audiences.
    (3) Making appointments with or soliciting of military personnel who 
are in an ``on-duty'' status.
    (4) Soliciting without an appointment in areas used for housing or 
processing transient personnel, or soliciting in barracks areas used as 
quarters.
    (5) Use of official identification cards by retired or Reserve 
members of the Armed Forces to gain access to military installations to 
solicit.
    (6) Offering of false, unfair, improper, or deceptive inducements to 
purchase or trade.
    (7) Offering rebates to promote transaction or to eliminate 
competition. (Credit union interest refunds to borrowers are not 
considered a prohibited rebate.)
    (8) Use of any manipulative, deceptive, or fraudulent device, 
scheme, or artifice, including misleading advertising and sales 
literature.
    (9) Any oral or written representations which suggest or appear that 
the Department of the Army sponsors or endorses the company or its 
agents, or the goods, services, and commodities offered for sale.
    (10) Commercial solicitation by an active duty member of the Armed 
Forces of another member who is junior in rank or grade, at any time, on 
or off the military installation (Army Regulation 600-50).
    (11) Entry into any unauthorized or restricted area.
    (12) Assignment of desk space for interviews, except for specific 
prearranged appointments. During appointments, the agent must not 
display desk or other signs announcing the name of the company or 
product affiliation.
    (13) Use of the ``Daily Bulletin'' or any other notice, official, or 
unofficial, announcing the presence of an agent and his availability.
    (14) Distribution of literature other than to the person being 
interviewed.
    (15) Wearing of name tags that include the name of the company or 
product that the agent represents.
    (16) Offering of financial benefit or other valuable or desirable 
favors to military or civilian personnel to help or encourage sales 
transactions. This does not include advertising material for prospective 
purchasers (such as pens, pencils, wallets, and notebooks, normally with 
a value of $1 or less).
    (17) Use of any portion of installation facilities, to include 
quarters, as a showroom or store for the sale of goods or services, 
except as specifically authorized by regulations governing the 
operations of exchanges, commissaries, non-appropriated fund 
instrumentalities, and private organizations. This is not intended to 
preclude normal home enterprises, providing State and local laws are 
complied with.
    (18) Advertisements citing addresses or telephone numbers of 
commercial sales activities conducted on the installation.
    (e) Business reply system. Agents who desire to use a business reply 
card system will include the information on the card which a military 
member can complete to indicate where and when the member can meet the 
agent to discuss the subject. The meeting place should be that 
established in accordance with paragraph (b)(2) of this section, if the 
meeting is to be on the installation. This procedure should assist in 
removing any impression that the agent or his company are approved by 
the Department of the Army. It should further prevent an undesirable 
situation (e.g., military personnel paged on a public address system or 
called by a unit runner to report to the orderly room).



Sec. 552.61  Products and services offered in solicitation.

    Products and services, including life insurance, offered and sold on 
Army installations must comply with the laws

[[Page 285]]

of the States (and other civil jurisdictions) in which the installations 
are located. If a dispute or complaint arises, the applicable State will 
make the determination (Sec. 552.56).



Sec. 552.62  Advertising rules and educational programs.

    (a) The Department of the Army expects that commercial enterprises 
soliciting military personnel through advertisements appearing in 
unofficial military publications will voluntarily observe the highest 
business ethics in describing both the goods, services, and commodities 
and the terms of the sale (such as guarantees and warranties). If not, 
the publisher of the military publication will request the advertiser to 
observe them. The advertising of credit will conform to the provisions 
of the Truth-in-Lending Act, as implemented by Regulation Z, published 
by the Federal Reserve Board (12 CFR part 226).
    (b) Commanders will provide appropriate information and educational 
programs to provide members of the Army with information pertaining to 
the conduct of their personal commercial affairs (e.g., the protections 
and remedies offered consumers under the Truth-in-Lending Act, 
insurance, Government benefits, savings, estate planning, and 
budgeting). The services or representatives of credit unions, banks, and 
nonprofit military associations approved by HQDA may be used for this 
purpose provided their programs are entirely educational. Under no 
circumstances will the services of commercial agents, including loan or 
finance companies and their associations, be used for this purpose. 
Educational materials prepared or used by outside organizations or 
experts in this field may be adapted or used with applicable permission, 
provided the material is entirely educational and does not contain 
applications or contract forms.



Sec. 552.63  ``Cooling off'' period for door-to-door sales.

    The Federal Trade Commission Rule, 16 CFR part 429, p. 233, 
effective 7 June 1974, pertains to a cooling off period for door-to-door 
sales. The rule applies to any sale, lease, or rental of consumer goods 
or services with a purchase price of $25 or more, whether under single 
or multiple contracts, in which the seller or business representative 
personally solicits the sale, including those in response to or 
following an invitation by the buyer, and the buyer's agreement or offer 
to purchase is made at a place other than the place of business of the 
seller. The purpose of the law is to allow the consumer the right to 
cancel a transaction at any time prior to midnight of the third business 
day after the date of the transaction. When any door-to-door sale or 
transaction takes place anywhere on or off the installation (other than 
the seller's place of business) the consumer must be provided with a 
full and complete receipt or copy of a contract pertaining to the sale 
at the time of its execution which shall include the ``cancellation 
statements'' as required by the FTC rule.



Sec. 552.64  Sound insurance underwriting and programing.

    The Department of the Army encourages the acquisition of a sound 
insurance program that is suitably underwritten to meet the varying 
needs of the individual and is within his financial means. Accordingly, 
insurance agents may conduct personal business on an installation, when 
feasible, with disinterested third-party counseling provided, 
interviewing hours set aside, and facilities supplied. However, the 
privilege of insurance solicitation on installations is conditioned on 
full compliance with this regulation and on the clear understanding that 
permission is not indorsement of the company or the policies offered for 
sale.



Sec. 552.65  Command supervision.

    (a) All insurance business conducted on Army installation will be by 
appointment. When setting up the appointment, insurance agents must 
identify themselves to the prospective purchaser as an agent for a 
specific insurance company.
    (b) Department of Defense personnel are expressly prohibited from 
representing any insurance company or dealing either directly or 
indirectly with any insurance company or any

[[Page 286]]

recognized representative of an insurance company as an agent or in any 
official or business capacity for the solicitation of insurance to 
personnel on a military installation with or without compensation.
    (c) In addition to the forbidden practices, installation commanders 
will prohibit the following:
    (1) The use of a commercial insurance agent as a participant in any 
military-sponsored education or orientation program.
    (2) The designation or announcement of any agent as ``Battalion 
Insurance Advisor,'' ``Unit Insurance Counselor,'' ``SGLI Conversion 
Consultant,'' or similar quasi-official titles.



Sec. 552.66  Actions required by agents.

    (a) The agent must know that--
    (1) Soldiers to be solicited are in grades E-1, E-2, or E-3, and
    (2) The solicitation of these members is restricted to specified 
times and locations designated by the installation commander.
    (b) Agents must leave information on the policy applied for with 
each member in grades E-1, E-2, and E-3 who applies for insurance and 
the unit insurance officer or counselor. Agents must complete DA Form 
2056 (Commercial Insurance Solicitation Record). Blank DA Forms 2056 
(not allotment forms) will be available to insurance agents on request. 
In the ``Remarks'' section of DA Form 2056, agents will include all 
pertinent information and a clear statement that dividends are not 
guaranteed if the presentation refers to dividends.



Sec. 552.67  Life insurance policy content.

    Insurance policies offered and sold on Army installations must--
    (a) Comply with the insurance laws of the States or country in which 
the installations are located. The applicable State insurance 
commissioner will determine such compliance if there is a dispute or 
complaint.
    (b) Contain no restrictions because of military service or military 
occupational specialty of the insured, unless restrictions are clearly 
indicated on the face of the policy.
    (c) Plainly indicate any extra premium charges imposed because of 
military service or military occupational specialty.
    (d) Not vary in the amount of death benefit or premium based on the 
length of time the policy has been in force, unless it is clearly 
described therein.
    (e) For purposes of paragraphs (b) through (d) of this section, be 
stamped with an appropriate reference on the face of the policy to focus 
attention on any extra premium charges imposed and on any variations in 
the amount of death benefit or premium based on the length of time the 
policy has been in force.
    (f) Variable life insurance policies may be offered provided they 
meet the criteria of the appropriate insurance regulatory agency and the 
Securities and Exchange Commission.
    (g) Show only the actual premiums payable for life insurance 
coverage.



Sec. 552.68  Minimum requirements for agents.

    (a) In the United States, its territories, and the Commonwealth of 
Puerto Rico, agents may be authorized to solicit on an installation 
provided--
    (1) Both the company and its agents are licensed in the State in 
which the installation is located. ``State'' as it pertains to political 
jurisdictions includes the 50 States, territories, and the Commonwealth 
of Puerto Rico.
    (2) The application to solicit is made by an accredited company 
(Sec. 552.69).
    (b) On Army military installation in foreign areas.
    (1) An agent may solicit business on U.S. military installations in 
foreign areas if--
    (i) The company he represents has been accredited by DOD;
    (ii) His name is on the official list of accredited agents 
maintained by the applicable major command;
    (iii) His employer, the company, has obtained clearance for him from 
the appropriate overseas commanders; and
    (iv) The commanding officer of the military installation on which he 
desires to solicit has granted him permission.
    (2) To be employed for overseas solicitation and designated as an 
accredited agent, agents must have at least 1 year

[[Page 287]]

of successful life insurance underwriting in the United States or its 
territories. Generally, this is within the 5 years preceding the date of 
application.
    (3) General agents and agents will represent only one accredited 
commercial insurance company. The overseas commander may waive this 
requirement if multiple representation can be proven to be in the best 
interest of DOD personnel.
    (4) An agent must possess a current State license. The overseas 
commander may waive this requirement on behalf of an accredited agent 
who has been continuously residing and successfully selling life 
insurance in foreign areas and forfeits his eligibility for a State 
license, through no fault of his own, due to the operation of State law 
or regulation governing domicile requirements, or requiring that the 
agent's company be licensed to do business in that State. The request 
for a waiver will contain the name of the State and jurisdiction, which 
would not renew the agent's license.
    (5) An agent, once accredited in an overseas area, may not change 
his affiliation from the staff of one general agent to another, unless 
the losing company certifies, in writing, that the release is without 
justifiable prejudice. Unified commanders will have final authority to 
determine justifiable prejudice.
    (6) Where the accredited insurer's policy permits, an overseas 
accredited life insurance agent, if duly qualified to engage in security 
activities either as a registered representative of a member of the 
National Association of Securities Dealers or an associated person of a 
broker/dealer registered with the Securities and Exchange Commission 
only, may offer life insurance and securities for sale simultaneously. 
In cases of commingled sales, the allotment of pay for the purchase of 
securities cannot be made to the insurer.
    (7) Overseas commanders will exercise further agent control 
procedures as necessary.



Sec. 552.69  Application by companies to solicit on military installations 
in the United States, its territories, or the Commonwealth of Puerto Rico.

    Before a company may be accredited to solicit on a military 
installation, the commander must receive a letter of application, signed 
by the company's president or vice president. It must be understood that 
a knowing and willful false statement is punishable by fine or 
imprisonment (18 U.S.C. 1001). The letter of application will--
    (a) Report the States in which the company is qualified and licensed 
to sell insurance.
    (b) Give the name, complete address, and telephone number of each 
agent who will solicit on the installation if approval is granted; the 
State in which licensed; the date of licensing and the expiration date; 
and a statement of agreement to report all future additions and 
separations of agents employed for solicitation on the installation.
    (c) List all policies and their form numbers that are to be offered 
for purchase on the installation. Application will be offered for 
purchase and that these policies meet the requirements of Sec. 
552.67(d).
    Attest that--
    (1) The privilege of soliciting the purchase of life insurance is 
not currently suspended or withdrawn from the company by any of the 
military departments.
    (2) The privilege of soliciting the purchase of life insurance is 
not currently suspended or withdrawn by any Armed Forces installations 
from any of the agents named.
    (3) The company and the agent named have proper and currently 
validated licenses as required by Sec. 552.68.
    (4) The company assumes full responsibility for its agents complying 
with this regulation and with any regulations published by the 
installation commander.



Sec. 552.70  Applications by companies to solicit on installations in 
foreign countries.

    (a) Each May and June only, DOD accepts applications from commercial

[[Page 288]]

life insurance companies for accreditation to solicit the purchase of 
commercial life insurance on installations in foreign countries for the 
fiscal year beginning the following October.
    (b) Information about permission to solicit on installations outside 
the United States (exclusive of its territories and the Commonwealth of 
Puerto Rico) is contained in instructions issued by DOD. Applications 
and any correspondence relating thereto should be addressed to Assistant 
Secretary of Defense (Manpower, Reserve Affairs, and Logistics), ATTN: 
Directorate, Personnel Services, ODASD(MPP), WASH DC 20301.
    (c) Advice of action taken by DOD is announced annually by letters 
sent to overseas commanders as soon as practicable after 15 September. 
The list of companies and agents may vary from year to year.



Sec. 552.71  Associations--general.

    The recent growth of quasi-military associations offering various 
insurance plans to military personnel is recognized. Some associations 
are not organized within the supervision of insurance laws of either the 
Federal or State Government. While some are organized for profit, others 
function as nonprofit associations under Internal Revenue Service 
regulations. Regardless of how insurance plans are offered to members, 
the management of the association is responsible for assuring that all 
aspects of its insurance programs comply fully with the instructions of 
this regulation.



Sec. 552.72  Use of the allotment of pay system.

    (a) Allotments of military pay will be made in accordance with Army 
Regulation 37-104-3. Allotments will not be made to an insurer for the 
purchase of a commingled sale (e.g., retirement plans, securities).
    (b) Under no circumstances will agents have allotment forms in their 
possession or attempt to assist or coordinate the administrative 
processing of such forms.
    (c) For personnel in grades E-1, E-2, and E-3, at least 7 days 
should elapse between the signing of a life insurance application or 
contract and the certification of an allotment. The purchaser's 
commanding officer may grant a waiver of this requirement for good 
cause, such as the purchaser's imminent permanent change of station.



Sec. 552.73  Minimum requirements for automobile insurance policies.

    Policies sold on installations by both accepted and accredited 
insurers will meet all statutory and regulatory requirements of the 
State or host nation in which the installation is located. Policies will 
not be issued in amounts lower than the minimum limits prescribed by 
these authorities. In addition, policies will--
    (a) Clearly identify the name of the insurer and the full address.
    (1) Applications without the name and address of the insurer 
underwriting the insurance may be used; the names of sales or 
underwriting agents alone is not sufficient.
    (2) Post office box addresses are not an acceptable address.
    (b) Provide bodily injury and property damage liability coverage for 
all drivers authorized by the named insured to operate the vehicle. 
Military indorsements, excluding persons other than the named insured, 
whether in the military or not, are not acceptable.
    (c) Not contain unusual limitations or restrictions, including, but 
not limited to, the following:
    (1) Limitations specifying that coverage is afforded only when the 
insured vehicle is operated in the designated geographic areas in the 
United States (e.g., coverage applicable only on a military 
reservation). If the installation is located within the United States, 
the standard provision limiting coverage to the United States and Canada 
is acceptable.
    (2) Coverage limited to exclude liability for bodily injury to 
passengers and guests if such a liability exists as a matter of law.



Sec. 552.74  Grounds for suspension.

    The installation commander will deny or revoke permission of a 
company and its agents to conduct commercial activities on the 
installation if

[[Page 289]]

it is in the best interests of the command. The grounds for taking this 
action will include, but will not be limited to, the following:
    (a) Failure of company to meet the licensing and other regulatory 
requirements prescribed in Sec. 552.56.
    (b) An agent or representative engaged in any of the solicitation 
practices prohibited by this regulation.
    (c) Substantiated adverse complaints or reports about the quality of 
the goods, services, or commodities and the manner in which they are 
offered for sale.
    (d) Personal misconduct by agents or representatives while on the 
military installation.
    (e) The possession of or any attempt to obtain allotment forms, or 
to assist or coordinate the administrative processing of such forms.
    (f) Knowing and willful violation of the Truth-in-Lending Act or 
Federal Regulation Z.
    (g) Failure to incorporate and abide by the Standards of Fairness 
policies. (See Sec. 552.83.)



Sec. 552.75  Factors in suspending solicitation privileges.

    In suspending privileges for cause, the installation commander will 
determine whether to limit suspension to the agent alone or to extent it 
to the company he represents. This decision will be based on the 
circumstances of the particular case. Included are--
    (a) The nature of the violations and their frequencies;
    (b) The extent to which other agents of the company have engaged in 
these practices;
    (c) Previous warnings or suspensions; and
    (d) Other matters that show the company's guilt or failure to take 
reasonable corrective or remedial action.



Sec. 552.76  Preliminary investigation.

    When unauthorized solicitation practices have apparently occurred, 
an investigating officer will be appointed (Army Regulation 15-6). The 
investigating officer will gather sworn statements from all interested 
parties who have any knowledge of the alleged violations.



Sec. 552.77  Suspension approval.

    The installation commander will personally approve all cases in 
which solicitation privileges have been denied or suspended for cause. 
This includes agents, companies, or other commercial enterprises. 
Authority to temporarily suspend solicitation privileges for 30 days or 
less while an investigation is conducted may be delegated by the 
commander to the installation solicitation officer or other designee. 
Exception to this time frame must be approved by The Adjutant General 
(DAAG-PSI) or by the overseas commander. The commander will make the 
final determination.



Sec. 552.78  ``Show cause'' hearing.

    Before suspending the solicitation privilege, the company and the 
agent will have a chance to show cause why the action should not be 
taken. ``Show cause'' is an opportunity for the company, the agent, or 
both to present facts informally on their behalf. The company and agent 
will be notified, by letter, far in advance of the pending hearing. If 
unable to notify the agent directly or indirectly of the hearing, then 
the hearing may proceed.



Sec. 552.79  Suspension action.

    (a) When suspended for cause, immediately notify the company and the 
agent, in writing, of the reason. When the installation commander 
determines that suspension should be extended throughout the Department 
of the Army (whether for the agent or his company), send the case to 
HQDA (DAAGPSI) WASH DC 20314. Provide all factors on which the commander 
based his decision concerning the agent or company (exempt report, para 
7-2o, Army Regulation 335-15). This notification should include--
    (1) Copies of the ``show cause'' hearing record or summary,
    (2) The installation regulations or extract,
    (3) The investigation report with sworn statements by all personnel 
affected by or having knowledge of the violations,
    (4) The statement signed by the agent as required in Sec. 
552.60(c).

[[Page 290]]

    (5) Notification letters sent to the company and the agent advising 
of suspension of installation solicitation privileges, and
    (6) If the agent failed to respond to notification of the hearing, a 
copy of the letters sent to him and the company offering them the 
opportunity to be heard.
    (b) If the grounds for suspension bear significantly on the 
eligibility of the agent or company to hold a State license or to meet 
other regulatory requirements, notify the appropriate State or local 
civil authorities.



Sec. 552.80  Suspension period.

    All solicitation privileges suspended by installation commanders 
will be for a specific time. Normally, it will not exceed 2 years. When 
the suspension period expires, the agent may reapply for permission to 
solicit at the installation authorizing the denial or suspension. 
Requests for suspension periods in excess of 2 years will be sent with 
the complete case to HQDA (DAAG-PSI) WASH DC 20314, for approval. Lesser 
suspension may be imposed pending decision.



Sec. 552.81  Agents or companies with suspended solicitation privileges.

    Quarterly, HQDA will publish the names of agents and companies whose 
solicitation privileges have been suspended throughout the Department of 
the Army. If no change has occurred in the latest quarter, no list will 
be published.



Sec. 552.82  Exercise of ``off limits'' authority.

    (a) In appropriate cases, installation commanders may have the Armed 
Forces Disciplinary Control Board investigate reports that cash or 
consumer credit transactions offered military personnel by a business 
establishment off post are usurious, fraudulent, misleading, or 
deceptive. If it is found that the commercial establishment engages in 
such practices; that it has not taken corrective action on being duly 
notified; and that the health, morale, and welfare of military personnel 
would be served, the Armed Forces Disciplinary Control Board may 
recommend that the offending business establishment be declared ``off 
limits'' to all military personnel. The procedures for making these 
determinations are in Army Regulation 190.24.
    (b) On finding that a company transacting cash or consumer credit 
with members of the Armed Forces, nationwide or internationally, is 
engaged in widespread usurious, fraudulent, or deceptive practices, the 
Secretary of the Army may direct Armed Forces Disciplinary Control 
Boards in all geographical areas where this occurred to investigate the 
charges and take appropriate action.



Sec. 552.83  Standards of fairness.

    (a) No finance charge contracted for, made, or received under any 
contract shall be in excess of the charge which could be made for such 
contract under the law of the place in which the contract is signed in 
the United States by the serviceman. In the event a contract is signed 
with a United States company in a foreign country, the lowest interest 
rate of the state or states in which the company is chartered or does 
business shall apply.
    (b) No contract or loan agreement shall provide for an attorney's 
fee in the event of default unless suit is filed in which event the fee 
provided in the contract shall not exceed 20 percent of the obligation 
found due. No attorney's fees shall be authorized if he is a salaried 
employee of the holder.
    (c) In loan transactions, defenses which the debtor may have against 
the original lender or its agent shall be good against any subsequent 
holder of the obligation. In credit transactions, defenses against the 
seller or its agent shall be good against any subsequent holder of the 
obligation provided that the holder had actual knowledge of the defense 
or under condition where reasonable inquiry would have apprised him of 
this fact.
    (d) The debtor shall have the right to remove any security for the 
obligation beyond State or national boundaries if he or his family moves 
beyond such boundaries under military orders and notifies the creditor, 
in advance of the removal, of the new address where the security will be 
located. Removal of the security shall not accelerate payment of the 
obligation.

[[Page 291]]

    (e) No late charge shall be made in excess of 5 percent of the late 
payment, or $5 whichever is the lesser amount. Only one late charge may 
be made for any tardy installment. Late charges will not be levied where 
an allotment has been timely filed, but payment of the allotment has 
been delayed.
    (f) The obligation may be paid in full at any time or through 
accelerated payments of any amount. There shall be no penalty for 
prepayment and in the event of prepayment, that portion of the finance 
charges which have insured to the benefit of the seller or creditor 
shall be prorated on the basis of the charges which would have been 
ratably payable had finance charges been calculated and payable as equal 
periodic payments over the term of the contract, and only the prorated 
amount to the date of prepayment shall be due. As an alternative, the 
``Rule of 78'' may be applied, in which case its operation shall be 
explained in the contract.
    (g) No charge shall be made for an insurance premium or for finance 
charges for such premium unless satisfactory evidence of a policy, or 
insurance certificate where State insurance laws or regulations permit 
such certificates to be issued in lieu of a policy, reflecting such 
coverage has been delivered to the debtor within 30 days after the 
specified date of delivery of the item purchased or the signing of a 
cash loan agreement.
    (h) If the loan or contract agreement provides for payments in 
installments, each payment, other than the down payment, shall be in 
equal or substantially equal amounts, and installments shall be 
successive and of equal or substantially equal duration.
    (i) If the security for the debt is repossessed and sold in order to 
satisfy or reduce the debt, the repossession and resale will meet the 
following conditions:
    (1) The defaulting purchaser will be given advance written notice of 
the intention to repossess;
    (2) Following repossession, the defaulting purchaser will be served 
a complete statement of his obligations and adequate advance notice of 
the sale;
    (3) He will be permitted to redeem the item by payment of the amount 
due before the sale, or in lieu thereof submit a bid at the sale;
    (4) There will be a solicitation for a minimum of three sealed bids 
unless sold at auction;
    (5) The party holding the security, and all agents thereof are 
ineligible to bid;
    (6) The defaulting purchaser will be charged only those charges 
which are reasonably necessary for storage, reconditioning, and resale; 
and
    (7) He shall be provided a written detailed statement of his 
obligations, if any, following the resale and promptly refunded any 
credit balance due him, if any.
    (j) A contract for personal goods and services may be terminated at 
any time before delivery of the goods or services without charge to the 
purchaser. However, if goods made to the special order of the purchaser 
result in preproduction costs, or require preparation for delivery, such 
additional costs will be listed in the order form or contract. No 
termination charge will be made in excess of this amount. Contracts for 
delivery at future intervals may be terminated as to the undelivered 
portion, and the purchaser shall be chargeable only for that proportion 
of the total cost which the goods or services delivered bear to the 
total goods called for by the contract. (This is in addition to the 
right to rescind certain credit transactions involving a security 
interest in real estate provided by section 125 of the Truth-in-Lending 
Act, Pub. L. 90-321 (15 U.S.C. 1601) and Sec. 226.9 of Regulation Z (12 
CFR part 226).



                  Subpart F_Fort Lewis Land Use Policy

    Source: 51 FR 11723, Apr. 7, 1986, unless otherwise noted.



Sec. 552.84  Purpose.

    (a) This regulation establishes procedures governing entry upon the 
Army training areas on Ft. Lewis, WA, designated in Sec. 552.84(c) of 
this section.
    (b) These procedures have been established to ensure proper use of 
these Army training areas. Uninterrupted

[[Page 292]]

military use is vital to maintain and improve the combat readiness of 
the US Armed Forces. In addition, conditions exist within these training 
areas which could be dangerous to any unauthorized persons who enter.
    (c) This regulation governs all use of the Ft Lewis Military 
Reservation outside cantonment areas, housing areas, Gray Army Airfield, 
Madigan Army Medical Center, and recreational sites controlled by the 
Director of Personnel and Community Activities (DPCA). The areas 
governed are designated on the overprinted 1:50,000 Ft Lewis Special Map 
as Impact Areas, lettered Close-In Training Areas (CTAs), or numbered 
Training Areas (TAs), and are hereafter referred to as the range 
complex. A full sized map is located at the Ft Lewis Area Access Office, 
Bldg. T-6127.



Sec. 552.85  Applicability.

    This regulation is applicable to all military and civilian users of 
the range complex.



Sec. 552.86  References.

    (a) AR 405-70 (Utilization of Real Estate).
    (b) AR 405-80 (Granting Use of Real Estate).
    (c) AR 420-74 (Natural Resources--Land, Forest, and Wildlife 
Management).
    (d) FL Reg 215-1 (Hunting, Fishing, and Trapping).
    (e) FL Reg 350-30 (I Corps and Fort Lewis Range Regulations).
    (f) DA Form 1594 (Daily Staff Journal or Duty Officer's Log).
    (g) HFL Form 473 (Range, Facility, and Training Area Request).



Sec. 552.87  General.

    (a) Military training. All use of the Ft. Lewis range complex for 
military training is governed by FL Reg 350-30. Military training always 
has priority for use of the range complex.
    (b) Hunting. Hunting, fishing, and trapping on Ft. Lewis are 
governed by FL Reg 215-1.
    (c) Recreational use. (1) All individuals or organizations, military 
or civilian, desiring access to the range complex for recreational 
purposes must apply for and possess a valid Ft. Lewis area access permit 
except as outlined in Sec. 552.87(c) of this section. Procedures are 
described in Sec. Sec. 552.91 and 552.92.
    (2) Authorized Department of Defense (DOD) patrons enroute to or 
using DPCA recreational areas (appendix A) are not required to possess a 
permit. Travel to and from DPCA recreational use areas is restricted to 
the most direct route by paved or improved two lane roads, and direct 
trail access. Other travel in the range complex is governed by this 
regulation.
    (3) Recreational use of CTAs without permit is authorized only for 
DOD personnel of Ft. Lewis and their accompanied guests. Driving 
Privately Owned Vehicles (POV) in the CTAs is restricted to paved or 
improved gravel roads, except for direct trail access to DPCA 
recreational areas at Shannon Marsh and Wright's Lake. Other 
recreational activities authorized in the CTAs for DOD personnel without 
permit are walking, jogging and picnicking at established picnic sites.
    (4) Organizations or groups whose authorized recreational activity 
is of such a nature as to require special advanced confirmed commitments 
from Ft. Lewis for land, including Scout Camporees, seasonal or one-time 
regional meets, and so on, must apply to the Ft. Lewis Area Access 
Section in writing. If the area is available, the request will be 
forwarded to the Director of Engineering and Housing (DEH) for lease 
processing. Not less than 180 days are required for processing of these 
special requests. Organizations or groups whose activity requires 
military equipment or other special support from Ft. Lewis must also 
apply in writing. If a permit is granted, the special assistance request 
will be coordinated by the Public Affairs and Liaison Office (PALO). 
Sample request guide and mailing address are available for the Access 
Section.
    (5) All other recreational uses require a permit in accordance with 
this regulation.
    (d) Commerical use. Individuals or organizations using the range 
complex for profit-generating activities must possess a Real Estate 
Agreement. Requests for Real Estate Agreements must be directed to the 
Real Property

[[Page 293]]

Branch, DEH, IAW AR 405-80. Real Estate Agreements issued after 
publication of this regulation will require Real Estate Agreement 
holders to notify the Area Access Section of their entry onto, and 
departure from, the range complex. Profit generating activities include 
individuals or organizations that collect fees for services or that sell 
materials collected from the range complex. Proposed timber sales 
require prior coordination with the Director of Plans, Training and 
Mobilization (DPTM) to ensure that access can be granted for the 
appropriate areas and times.
    (e) Installation service and maintenance. DOD personnel and 
contractual personnel on official business are authorized on the Ft. 
Lewis Military Reservation range complex as provided in appendix B. 
Access to hazard areas for such personnel is governed by FL Reg 350-30.
    (f) Non-DOD personnel in transit. Individuals in transit along State 
or County maintained roads or roads designated for public access by the 
Installation Commander require no special permits. These routes are 
listed in appendix B.
    (g) Trespassers. Persons or organizations entering or using the Ft. 
Lewis range complex outside one of the access channels described above 
are trespassing on a controlled-access federal reservation and are 
subject to citation by the military police. Trespassers may be barred 
from subsequent authorized access to the installation, and will be 
subject to the provisions of this section.
    (h) Failure to comply. Any person who enters the range complex of 
the Ft. Lewis Military Reservation without the consent of the Commanding 
Officer or his designated representative is in violation of the 
provisions of this regulation. Offenders may be subjected to 
administrative action or punishment under either the Uniform Code of 
Military Justice (UCMJ) or title 18 U.S.C. 1382, of title 50 U.S.C. 797, 
as appropriate to each individual's status. Administrative action may 
include suspension or loss of recreational privileges, or permanent 
expulsion from the Ft. Lewis Military Reservation.



Sec. 552.88  Responsibilities.

    (a) DPTM. Operate the Ft. Lewis Area Access Section as a part of 
Range Control.
    (b) Law Enforcement Command. Provide law enforcement and game warden 
patrols to respond to known or suspected trespassers or other criminal 
activity on the range complex.
    (c) DEH. Coordinate with the Ft. Lewis Area Access Section (thru 
DPTM) all Real Estate Agreements, timber sales, wildlife management, 
construction, and other DEH or Corps of Engineers managed actions 
occurring on the range complex. Ensure all Real Estate Agreements issued 
after publication of this regulation require Real Estate Agreement 
holders to notify the Area Access Section of their entry onto, and 
departure from, the range complex.
    (d) DPCA. Manage the Installation Hunting, Fishing, and Trapping 
programs in conjunction with DEH Wildlife. Manage those picnic and 
recreation sites located in the range complex, as listed in appendix A.
    (e) PALO. Make initial public release of Ft. Lewis Land Use Policy 
and area access procedures, and provide periodic updates through media. 
Act as interface, when necessary, to resolve community relations issues 
related to land use. Coordinate special assistance requests per Sec. 
552.86(b). Inform DPTM of public response to policy execution.



Sec. 552.89  Activities.

    (a) Examples of authorized activities are listed in appendix C.
    (b) Activities listed in appendix D are not authorized on Ft. Lewis 
and no permit will be issued.



Sec. 552.90  Permit office.

    DPTM Range Control operates the Ft. Lewis Area Access Section in 
Bldg T-6126 to issue permits and grant non-training acess to the range 
complex. The office is open 0700-1900 hours, seven days a week, for 
permit processing and access control. At other hours, Range Operations 
wil take calls for access only.

[[Page 294]]



Sec. 552.91  Individual permit procedures.

    (a) Individuals desiring area access for authorized activities (see 
appendix C) must register in person at the Ft. Lewis Area Access 
Section, Bldg T-6127. Minimum age is 18 years, except for active duty 
military personnel. Individuals under 18 years of age must be sponsored 
and accompanied by a parent or legal guardian.
    (b) Individual registration requires:
    (1) Picture ID.
    (2) Personal information including Social Security Number.
    (3) Vehicle identification and license number, if a vehicle is to be 
brought on post.
    (4) Names and ages of minor family members who will accompany a 
registered person.
    (5) Liability release signature.
    (6) Certification that intended activities are on the authorized 
list and are not for-profit commercial activities. Persons who submit 
false certificates are subject to prosecution in Federal Court Under 5 
U.S.C. 1001, and the provisions of this section.
    (c) A permit and a vehicle pass will be issued to each person 
authorized area access. The permit is not transferable. Entry to the 
range complex without the issued permit is forbidden.
    (d) Individual write-in requests may be authorized for extraordinary 
circumstances.



Sec. 552.92  Group permit procedures.

    (a) A collective permit will be issued to an organization desiring 
to conduct a group event. The group leader must register in person at 
the Ft. Lewis Area Access Section, Bldg T-6127, and must be 21 years of 
age or older except for active duty military personnel.
    (b) Group registration requires the information listed in Sec. 
552.91, except that a legible list of names of all persons in the group 
is required in lieu of the names and ages of minors.
    (c) Group permits will be issued with the requirement that all 
members of the group will be with the leader throughout the event. If 
the group plans to separate while still on post, sub-group leaders must 
be appointed and must each obtain a permit as noted in this section. The 
group leader permit is not transferable.
    (d) Other group write-in requests may be authorized for 
extraordinary circumstances.



Sec. 552.93  Permit deadline and duration.

    (a) Permits will be issued 0700-1900 hours daily and may be obtained 
no earlier than six months prior to the event date. Permits for 
authorized activities may be requested and issued on the day of the 
event, but must be in hand prior to individual or group entry on to the 
range complex.
    (b) Permits for one-time events are valid for the duration of the 
event. Otherwise, permits are valid for six months and are not 
renewable. When a permit expires, the holder must reapply as described 
in this section.
    (c) Access hours are thirty minutes after daylight to thirty minutes 
before dark, except for authorized overnight activities and as outlined 
in FL Reg 215-1.



Sec. 552.94  Area access procedures.

    (a) Holders of current permits desiring access must call the Ft. 
Lewis Area Access Section on the date of entry at the telephone numbers 
listed on the permit and state the area to be entered, estimated time of 
entry, and estimated time of departure. This check-in may also be done 
in person at the Ft. Lewis Area Access Section, Bldg T-6126. Procedures 
for permits and access for hunting and trapping are outlined on FL Reg 
215-1.
    (b) The Ft. Lewis Area Access Section will determine whether the 
area is available and, if so, authorize entry. If the area is not open 
for permit holders, and an alternate area cannot be provided, access 
will be denied. All calls and actions will be recorded on DA Form 1594 
(Daily Staff Journal or Duty Officer's Log).
    (c) Permit holders must call or visit the Ft. Lewis Area Access 
Section immediately after leaving the authorized area to obtain checkout 
clearance. If a checkout is not received within three hours after the 
estimated time of departure, the Ft. Lewis Area Access Section will call 
the contact phone number in the permit holder's record and, if 
necessary, initiate a search through the Military Police Desk. Permit 
holders who fail to call out twice will be

[[Page 295]]

barred from area access for thirty days. A third failure to check out 
will result in suspension of the permit for the remainder of its normal 
duration or ninety days, whichever is longer.
    (d) Failure to comply with the provisions of this paragraph shall 
subject all persons to the provisions of this section.



Sec. 552.95  Compatible use.

    (a) Unit commanders may, during training area scheduling, request 
that no permit holders be allowed in their areas. Justification must be 
in the remarks column of HFL Form 473 (Range, Facility and Training Area 
Request). If this restriction is granted, the Ft. Lewis Area Access 
Section will close the appropriate areas. In the absence of a trainer's 
request for closure, the following military activities are considered 
incompatible with non-training access and will, when scheduled, block 
affected areas:
    (1) Live-fire training events with surface danger zones falling into 
training areas.
    (2) Parachute and air assault operations.
    (3) Field artillery firing. The numbered training area occupied by 
the weapons will be closed.
    (4) Motorized infantry operations that will use the majority of the 
road net in a training area, traveling at higher than normal speeds.
    (5) Training employing riot agents or smoke generating equipment.
    (b) The Range Officer may close training areas based on multiple 
occupation by large units.
    (c) Areas allocated to modern firearm deer hunting are closed to 
training and recreational activities. When State Fish and Game pheasant 
release sites can be isolated by swamps, streams, or roads from the rest 
of a training area, multiple occupancy is authorized.



Sec. 552.96  Violations.

    Anyone observing violators of this or other regulations must report 
the activity, time, and location to the Ft. Lewis Area Access Section or 
the Military Police as soon as possible.



Sec. 552.97  Communications.

    The Ft. Lewis Area Access Section communicates by telephone as noted 
on the permit. Tactical FM contact may be made through Range Operations.



                     Subpart G_Firearms and Weapons

    Source: 53 FR 1752, Jan. 22, 1988, unless otherwise noted.



Sec. 552.98  Purpose.

    This regulation establishes the criteria for possessing, carrying, 
concealing, and transporting firearms and/or other deadly or dangerous 
weapons and instruments on Fort Stewart/Hunter Army Airfield (AAF) 
installations.



Sec. 552.99  Applicability.

    (a) The provisions of this regulation apply to all Department of 
Defense (DOD) military; civilian personnel; U.S. Army Reserve/National 
Guard (USAR/NG) personnel on post for active duty training or inactive 
training in conjunction with Active Army elements, military family 
members; civilians employed on, visiting, or traveling through or on the 
Fort Stewart/Hunter AAF installation.
    (b) This regulation will not become void in its entirety merely 
because one part or portion thereof is declared unconstitutional or 
void.
    (c) This regulation is punitive, Military violators of the 
regulations may be prosecuted under the Uniform Code of Military Justice 
or may be subject to administrative action. Civilian violators may be 
subject to administrative or judicial action under title 18, United 
States Code, or title 16, Criminal Code of Georgia.



Sec. 552.100  Definitions.

    (a) Ammunition. Projectiles together with their fuses, propelling 
charges, and primers that are designed to be expelled from a firearm. 
This includes any type of military and commercial ammunition (ball, 
tracer, incendiary, blank, shotgun, black powder, and shot). Items shall 
only be considered as

[[Page 296]]

ammunition when loaded into a cartridge with its bullets and primer.
    (b) BB and pellet guns. Any type rifle, pistol or other instrument 
designed or redesigned, made or remade, modified or remodified to expel 
BBs or pellets by springs, compressed air, CO2 or any other compressed 
gas cartridge.
    (c) Dangerous instruments. Any device which is designed or 
redesigned, made or remade, modified or remodified to be used as an 
offensive or defensive weapon. Devices of this type include but are not 
limited to:
    (1) ``Constant companion'' or any similar weapon, designed or 
redesigned, made or remade, modified or remodified to be worn as a belt 
buckle, brass kunckles, ``Knucklers,'' and ``Knucks.''
    (2) Studded or spiked wrist bands, or any device designed or 
redesigned, made or remade, modified or remodified to fit over the hand 
or wrist which can be used to cause grave bodily harm.
    (3) Black jacks, slapjacks, slappers, saps, including homemade 
substitutes, other bludgeons (with or without handles), and metal pipes.
    (4) ``Nanchaku'' (num-chucks), two or more sticks connected by rope, 
cord or chain and normally used as a martial arts weapon. ``Shuriken'', 
a disc or any geometrical object designed to be thrown as a weapon. 
``Manrikigusari'' or ``Kusari,'' a rope or cord joined to a weight at 
each end and designed to be used as a weapon.
    (5) Any finger ring with blades or sharp objects that are capable of 
being projected/extended from the surface of the ring.
    (6) Any device capable and primarily intended for discharging darts 
or needles.
    (7) All firearms.
    (d) Explosive, incendiary, and pyrotechnic devices. Any type of 
military or commercial explosive, incendiary, gas or smoke bomb, 
grenade, rocket, missile, mine, blasting cap, ``dummy'' and/or practice 
device such as simulators, and other similar detonating devices which 
are capable of being altered to contain a live charge, and pyrotechnic 
devices such as firecrackers, cherry bombs, bottlerockets, and 
starclusters.
    (e) Firearms. Any type of weapon which is designed or redesigned, 
made or remade, modified or remodified to expel a projectile by action 
of any explosion, and the frame or receiver of any such weapon. This 
does not include antique firearms, antique replicas, and those modern 
firearms which have been rendered permanently incapable of being fired.
    (f) Knives, sabers, swords, and machetes. Any instrument having a 
sharp blade which is fastened to a handle, or made with a handle. 
Measurement of the blade will be from the tip of the blade to the point 
where the blade meets the handle. This includes folding knives, 
switchblades, gravity knives, stilettos, lock blade knives, swords, 
sabers, and machetes.
    (g) Machine gun and automatic weapon. A weapon designed or 
redesigned, made or remade, modified or remodified to automatically fire 
more than one shot by a single pull of the trigger.
    (h) Public gathering. Shall include, but shall not be limited to, 
athletic or sporting events, schools or school functions, churches or 
church functions, rallies, or establishments at which alcoholic 
beverages are sold for consumption on the premises.
    (i) Shotgun. A weapon designed or redesigned, made or remade, and 
intended to be fired from the shoulder; and designed or redesigned, made 
or remade, to use the energy or the explosive in a fixed shotgun shell 
to fire through a smooth bore either a number of ball shot or a single 
projectile for each single pull of the trigger.
    (j) Sawed-off shotgun. A shotgun or any weapon made from a shotgun 
whether by alteration, modification, or otherwise having one or more 
barrels less than 18 inches in length or if such weapon as modified has 
an overall length of less than 20 inches.
    (k) Sawed-off rifle. A weapon designed or redesigned, made or 
remade, and intended to be fired from the shoulder; and designed or 
redesigned, made or remade, to use the energy of the explosive in a 
fixed metallic cartridge to fire only as a single projectile through a 
rifle bore for each single pull of the trigger; and which has a barrel 
or barrels of less than 16 inches or has an overall length of less than 
26 inches.

[[Page 297]]

    (l) Silencer. Any device used for suppressing or diminishing the 
report of any firearm.
    (m) Weapon. An instrument used in an offensive or defensive manner.



Sec. 552.101  Prohibitions.

    (a) Prohibited items. It is prohibited to possess, carry, conceal, 
transport, store, transfer or sell any of the following weapons or 
devices on, through or within the confines of Fort Stewart and Hunter 
AAF installations unless specifically allowed elsewhere in this 
regulation:
    (1) Sawed-off shotgun.
    (2) Sawed-off rifle.
    (3) Machine gun and automatic weapons.
    (4) Silencers.
    (5) Dangerous instruments as defined in Sec. 552.100(c).
    (6) Explosives, Incendiary and Pyrotechnic Devices, as defined in 
Sec. 552.100(d).
    (7) Knives with automatic blade openers (i.e., switch blades, 
gravity knives, stilettos) of any blade length. Folding or fixed bladed 
knives with a blade length of more than 3 inches. Swords, sabers, and 
machetes with sharpened blades.
    (8) Any object which carries an electrical current of sufficient 
wattage to deliver a shock to a person, such as cattle prods, ``taser'' 
or ``public defenders.''
    (b) Carrying a concealed weapon. A person commits the offense of 
carrying a concealed weapon when he/she knowingly has or carries about 
his/her person, unless in an open manner and fully exposed to view, any 
bludgeon, metal knuckles, firearm, or knife designed for the purpose of 
offense and defense, or any other dangerous or deadly weapon or 
instrument of like character outside of his/her home or place of 
business.
    (c) Carrying Deadly Weapons to or at Public Gatherings. A person 
commits an offense under this section when he/she carries to or while at 
a public gathering any explosive compound, firearm, or knife designed 
for the purpose of offense and defense. This paragraph shall not apply 
to competitors participating in organized sporting events, military 
personnel in a formation when a weapon is required, or to police/
security personnel while in performance of their duties.
    (d) Prohibited Possession and Storage. It is prohibited for a 
person, military or civilian, to possess or store ammunition, firearms, 
knives with blades more than 3 inches, bows and arrows, crossbows, and 
BB and pellet guns, in locations other than those locations specified in 
Sec. 552.102, except under conditions specified in Sec.  552.103. 
Prohibited locations for these items include, but are not limited to, 
living spaces and common areas of billets, squad rooms, privately-owned 
vehicles, exterior storage sheds, camper trailers, and offices. 
Commanders will designate an arms room and times for weapons turn-in. 
During periods when arms rooms are closed, the Staff Duty Officer (SDO) 
will ensure the weapon is secured in accordance with (IAW) this 
regulation. A receipt will be given for each weapon received, reflecting 
the weapon's make, serial number, identity of owner and other data 
deemed appropriate.
    (e) Exemptions. Nothing in this regulation shall prohibit:
    (1) Military members or DOD civilian employees from possessing or 
using military weapons, military ammunition or explosives, or military 
devices in a lawful manner while in the performance of their military 
duties or for training or other authorized purposes, as prescribed by 
applicable Army Regulations.
    (2) Military and DOD civilian personnel, while in the performance of 
official law enforcement duties, from possessing or using government 
ammunition, explosives or devices in a lawful manner, as prescribed by 
applicable laws or regulations or by their lawful superiors.
    (3) Federal, state, county or local law enforcement personnel, while 
in the performance of official law enforcement duties, from possessing 
or using government or privately-owned weapons, ammunition, explosives 
or devices in a lawful manner, as prescribed by applicable laws or 
regulations or by their lawful superiors.
    (4) Government contractors, while in performance of their contract 
from possessing or using weapons, ammunition, explosives or devices, IAW 
the

[[Page 298]]

provisions of their contract and as determined by the Contracting 
Officer.
    (5) Individuals with Federal Firearms Licenses (Class III) from 
possessing, carrying, and transporting Class III weapons IAW Federal 
regulations; however, they are prohibited from concealing, storing, 
transferring, or selling Class III weapons within the confines of Fort 
Stewart and Hunter AAF.
    (6) Individuals from possessing, carrying, transporting, or storing 
decorative, ornamental, and ceremonial swords and sabers within the 
confines of Fort Stewart and Hunter AAF when used strictly for display 
and ceremonies. When used as a cutting instrument, they become a 
prohibited item.
    (7) Individuals and agencies from possessing, transporting, storing, 
selling, or using fixed bladed knives with a blade length of more than 3 
inches when used for their lawful purpose (i.e., steak knives, cooking 
knives, hunting knives) and when in compliance with all other 
requirements in this regulation.



Sec. 552.102  Requirements for possession and use.

    DOD military and civilian personnel, their family members, USAR/NG 
personnel and civilians employed on, visiting or traveling through this 
installation may possess legally-defined and privately-owned firearms, 
ammunition, BB and pellet guns, knives, bows and arrows, and crossbows 
under the following conditions:
    (a) Privately-owned firearms, crossbows, BB and pellet guns 
possessed or stored on the installation must be registered at the 
installation Provost Marshal's Office within three working days after 
arrival on the installation, or after obtaining the weapon, except:
    (1) Firearms legally brought onto the installation for the purpose 
of hunting or firing at an approved firing range, and only for the 
period of time the person possessing the firearms is hunting or firing 
on the range.
    (2) Firearms carried by federal, state, county or local law 
enforcement personnel when in the performance of official law 
enforcement duties.
    (3) Firearms carried or transported, in full compliance with Georgia 
State Laws, on Georgia State Highways 119 and 144 by personnel traveling 
through the installation only. Travel off of these state highways or 
stopping, other than for emergency purposes, while on the installation 
is prohibited.
    (b) Personnel residing in family housing, BOQ, BEQ/VOQ and guest 
housing, may store legally-acquired, authorized ammunition, knives with 
a blade measuring more than 3 inches, bows and arrows, registered 
crossbows, registered BB and pellet guns and registered firearms within 
their quarters.
    (c) Personnel residing in troop billets may store legally-acquired 
authorized ammunition, knives and blades measuring more than 3 inches, 
bows and arrows, registered crossbows, registered BB and pellet guns and 
registered firearms in unit arms rooms. The unit arms room should 
utilize a standard weapons card and log book to document storage, 
removal, and return.
    (d) Persons using weapons borrowed from another must have the 
documentation required in Sec. 552.103(a) as applicable in their 
possession when carrying, transporting or using the weapon on the 
installation.
    (e) Persons under the age of 17 must be accompanied by a person over 
the age of 21 who will be responsible for compliance with the 
requirements of this regulation while hunting or target shooting on the 
installation and when purchasing legal arms (including knives with 
blades over 3 inches) and ammunition from installation retail outlets.
    (f) Persons must be in compliance with federal and state laws 
regarding possession (i.e., age, criminal record restrictions, etc.)
    (g) Storage, accountability and registration procedures will be IAW 
Army Regulation 190-11 and supplements.



Sec. 552.103  Requirements for carrying and use.

    Persons legally authorized to possess firearms, ammunition, knives 
(with blades longer than 3 inches), bows and arrows, and crossbows, may 
carry or transport legally possessed and registered (if required) 
weapons under the following conditions.
    (a) For purposes of hunting: From quarters, on or off the 
installation, by the most direct route to hunting area

[[Page 299]]

or Pass and Permit Office and return. Stopping at other installation 
facilities while enroute is prohibited (i.e., Post Exchange, Club, 
offices, etc.). Individual must have in his/her possession weapon 
registration (if applicable), valid state hunting license, valid Fort 
Stewart hunting permit and an area access pass (if applicable).
    (b) For purposes of target shooting, selling the weapon or having 
the weapon repaired: From quarters by the most direct route to approved 
range or to the location where the weapon is to be sold or repaired and 
returned. Stopping at other installation facilities while enroute is 
prohibited. Individual must have in his/her possession at all times his/
her registration (if applicable).
    (1) When carried, weapons will be carried in an open manner (not 
concealed). Firearms will be unloaded when carried (i.e., projectiles 
physically separated from the firearms, not just removed from the 
chamber), except when actually engaged in hunting or shooting. Knives 
will be carried in a sheath or scabbard worn in a clearly visible 
manner. Commanders may authorize the carrying of a privately-owned knife 
with a blade over 3 inches to field duty, provided it is carried IAW 
Victory Standard and exposed in a sheath/scabbard. The Provost Marshal 
may authorize the carrying of a privately-owned, sheathed, lock blade 
knife on military and DOD police officers' pistol belts.
    (2) When transported in a vehicle, weapons will be in plain view in 
the passenger area of the vehicle or secured (locked) in the trunk or 
other rear compartment of the vehicle, not readily accessible from the 
passenger area (i.e., locked tool box secured to bed of a truck). 
Firearms will be unloaded and the ammunition physically separated from 
the firearms. The glove compartment of a vehicle is NOT an authorized 
compartment for storing pistols.
    (3) Firearms, bows and arrows, crossbows, BB and pellet guns will 
not be loaded, fired or used within the cantonment areas of the 
installation; within 50 yards of any public highway, street or Fort 
Stewart numbered road or across same; within 100 yards of any designated 
recreation area, managed waters, building or similar structures; any 
aircraft landing facility (to include currently used landing or stage 
fields); any ammunition storage area (except on approved firing range 
when properly authorized).
    (4) Persons not affiliated with DOD or this installation must remain 
on Georgia State Highways 119 and 144 when carrying or transporting 
weapons through the installation and must be in full compliance with 
Georgia State Law governing possession, use and transportation of said 
weapons. Travel off of these highways or stopping, for other than 
emergency purposes, while on the installation, is prohibited.



Sec. 552.104  Disposition of confiscated/seized weapons.

    All weapons, ammunition, explosives or other devices defined in this 
regulation, that are confiscated pursuant to the commission of a crime 
or violation of this or other regulation or found unsecured/unattended 
on the installation, will be immediately turned over to the military 
police, U.S. Army Criminal Investigation Command (USACIDC), or the 
Federal Bureau of Investigation (FBI) for investigation, retention as 
evidence, or other lawful disposition. When retention for investigation 
or evidence is no longer required by military police, USACIDC, or other 
law enforcement or judicial agencies, the items will be disposed of 
under the provisions of AR 195-5, Evidence Procedures.



   Subpart H_Regulation Controlling the Access to the Fort Lewis Main 
Cantonment Area and Prohibiting Certain Conduct Upon Fort Lewis Military 
                               Reservation

    Source: 52 FR 25862, July 9, 1987, unless otherwise noted. 
Redesignated at 53 FR 1752, Jan. 22, 1988.



Sec. 552.105  Purpose.

    (a) This regulation establishes procedures governing access control 
requirements for the Main Cantonment Area, Fort Lewis, Washington, and 
prohibits certain forms of conduct upon the Fort Lewis Military 
Reservation.

[[Page 300]]

    (b) These procedures and requirements have been established in 
conjunction with other efforts to improve the physical security of the 
Fort Lewis Military Reservation. It is essential that entrance to, and 
exit from, the installation be made only at controlled access points, 
and that certain forms of conduct be restricted.
    (c) This regulation governs all access to the Main Cantonment Area 
of the Fort Lewis Military Reservation, including, but not limited to, 
all housing areas, Gray Army Air Field, and Madigan Army Medical Center. 
It further prohibits all persons from engaging in certain forms of 
conduct anywhere on the Fort Lewis Military Reservation.



Sec. 552.106  Applicability.

    This regulation is applicable to all persons, both military and 
civilian, who enter the Fort Lewis Military Reservation.



Sec. 552.107  References.

    (a) AR 190-5 (Motor Vehicle Traffic Supervision)
    (b) AR 190-52 (Countering Terrorism and Other Major Disruptions on 
Military Reservations)
    (c) AR 210-7 (Commercial Solicitation on Army Installations)
    (d) AR 210-10 (Administration)
    (e) Fort Lewis Supplement 1 to AR 190-5 (Motor Vehicle Traffic 
Supervision)
    (f) I Corps and Fort Lewis Installation Security and Closure Plan
    (g) HFL Form 1138 (Fort Lewis Visitor Pass)



Sec. 552.108  General.

    (a) Access controls. (1) Fort Lewis is a closed post. Access to the 
installation is limited to persons with prior approved permission to 
enter.
    (2) Public access into the Main Cantonment Area of Fort Lewis is 
controlled through a series of static security posts manned by sentries 
empowered to grant or deny access to persons and material. The ``Main 
Cantonment Area'' is that area of the Fort Lewis Military Reservation 
shown on the overprinted 1:50,000 Fort Lewis Special Map (DMA Stock No. 
V791SFTLEWIS) excluding those areas designated thereon as Impact Areas, 
lettered Close-In Training Areas, or numbered Training Areas. A full 
sized map is located at the Fort Lewis Area Access Office, Building T-
6127. As defined, the Main Cantonment Area includes, but is not 
necessarily limited to, those areas of the installation containing 
Government housing areas, schools, medical facilities, troop billets, 
the installation command and control facilities, Gray Army Air Field, 
Madigan Army Medical Center, and certain recreational sites controlled 
by the Director of Personnel and Community Activities.
    (3) Entry of the general public into the Main Cantonment Area at any 
location other than through established manned access control points is 
strictly prohibited. For the purposes of this regulation, entry includes 
the entrance of the person, or the insertion of any part of his body, or 
the introduction of any unauthorized material.
    (b) Trespassers. Persons entering or remaining upon the Main 
Cantonment Area of the Fort Lewis Military Reservation in violation of 
this regulation are trespassing on a closed federal reservation and are 
subject to citation by the military police. Trespassers may be barred 
from subsequent access to the installation and will be subject to the 
provisions of this regulation. A person violates this regulation when he 
enters or remains upon the Main Cantonment Area when he is not licensed, 
invited, or otherwise authorized to so enter or remain. All such persons 
are trespassers for the purpose of this regulation.
    (c) Prohibited Activities. Department of Defense policy permits 
commanders to prohibit any expressive activity which could interfere 
with or prevent the orderly accomplishment of the installation's 
mission, or which presents a clear danger to the loyalty, discipline or 
morale of their soldiers. Therefore, unless the prior approval of the 
installation commander or his designated representative has been 
obtained, no person while on the Fort Lewis Military Reservation shall:
    (1) Engage in protests, public speeches, sit-ins, or demonstrations 
promoting a political point of view.
    (2) Engage in partisan political campaigning or electioneering.

[[Page 301]]

    (3) Display or distribute commercial advertising or solicit 
business.
    (4) Interrupt or disturb a military formation, ceremony, class or 
other activity.
    (5) Obstruct movement on any street, sidewalk, or pathway without 
prior authority.
    (6) Utter to any person abusive, insulting, profane, indecent or 
otherwise provocative language that by its very utterance tends to 
incite an immediate breach of the peace.
    (7) Distribute or post publications, including pamphlets, 
newspapers, magazines, handbills, flyers, leaflets, and other printed 
material, except through regularly established and approved distribution 
outlets.
    (8) Circulate petitions or engage in picketing or similar 
demonstrations for any purpose.
    (9) Disobey a proper request or order by Department of Defense (DoD) 
police, military police, or other competent authority to disperse or to 
leave the installation.
    (d) Failure to comply. Any person who enters or remains upon the 
Main Cantonment Area of Fort Lewis Military Reservation when he is not 
licensed, invited or otherwise authorized by the terms of this 
regulation or who enters or remains upon the Fort Lewis Military 
Reservation for a purpose of engaging in any activity prohibited by this 
regulation is in violation of the provisions of the regulation. 
Violators of this regulation may be subjected to administrative action 
or criminal punishment under the Uniform Code of Military Justice 
(UCMJ), title 18 U.S.C. 1382, or title 50 U.S.C. 797, as appropriate to 
each individual's status. Maximum punishment under title 18 U.S.C. 1382 
is a fine of not more than $500 or imprisonment for not more than six 
months, or both. Maximum punishment under 50 U.S.C. 797 is a fine of 
$5,000 or imprisonment for not more than one year, or both. 
Administrative action may include suspension of access privileges, or 
permanent expulsion from the Fort Lewis Military Reservation.



Sec. 552.109  Routine security controls.

    (a) Unimpeded access. Military vehicles, emergency vehicles, mail 
delivery vehicles, privately owned motor vehicles registered in 
accordance with Fort Lewis Supplement 1 to Army Regulation (AR) 190-5, 
and pedestrians in possession of current active duty, retired, 
dependent, or DoD civilian identification cards are authorized unimpeded 
access to Fort Lewis during periods of routine installation operations 
unless prohibited or restricted by action of the Installation Commander.
    (b) Visitor access. All visitors to the installation will report to 
the visitor's information center where the visitor's name, vehicle 
license number, purpose and duration of visit will be recorded prior to 
granting access. Visitor's passes for visitors to Madigan Army Medical 
Center and the Logistics Center/Civilian Personnel Office will be issued 
at the Madigan and Logistics Center gates respectively.
    (c) Visitor's passes. HFL Form 1138 (Fort Lewis Visitor Pass) valid 
for a period not to exceed 24 hours unless otherwise noted below, may be 
issued only when one or more of the following criteria is met.
    (1) Personnel in possession of proper orders directing temporary 
duty at Fort Lewis may be issued a visitor's pass for periods not to 
exceed 13 days. Personnel ordered to temporary duty at Fort Lewis for 
periods in excess of 13 days but less than 90 days will be required to 
obtain a temporary vehicle registration.
    (2) Persons visiting Fort Lewis military personnel or their family 
members may be issued visitor's passes for periods up to and including 
13 days when personally requested by the military sponsor.
    (3) Moving vans and commercial delivery vehicles will be issued 
visitor's passes after the operator displays a bill of lading or other 
official documentation demonstrating a legitimate need to enter Fort 
Lewis.
    (4) Contract vehicles not qualifying for installation vehicle 
registration pursuant to Fort Lewis Supplement 1 to AR 190-5 will be 
issued a visitor's pass as provided in paragraph (c) of this section, 
after the purpose of the visit has been verified by the Contracting 
Officer's Representative, or the Contractor when the former is not 
available.

[[Page 302]]

    (5) Prior to issuing a visitor's pass to unsponsored personnel who 
desire to visit unit areas, club facilities and other recreational 
facilities, security personnel will telephonically contact the person to 
be visited. If the person to be visited cannot be contacted to verify 
the visit, the visitor will be denied entry. Unsponsored personnel 
desiring to visit the Fort Lewis Museum may be issued a visitor's pass 
valid until museum closing time on day of issue, provided security 
personnel telephonically contact the museum and verify the hours of 
public operation that day prior to issuing the visitor's pass.
    (6) Soldiers, dependent family members, and Department of the Army 
employees who sponsor visitors to the installation remain responsible 
for the conduct of their guests on Fort Lewis for the duration of the 
visit.
    (d) Heightened security controls. Access control measures 
implemented during periods of enhanced security will be in accordance 
with AR 190-52 and the I Corps and Fort Lewis Installation Security and 
Closure Plan. During periods of heightened security controls, sponsors 
may be required to personally report to the Visitor's Information Center 
to accept responsibility for the visitor.



Sec. 552.110  Requests for exception.

    The installation commander or his deputy may grant exceptions to the 
prohibitions contained in paragraph (c)(4) of this section. An 
application for exception shall be submitted to the installation Public 
Affairs Liaison Officer at least seven days prior to the date of the 
requested activity. The application must be in writing, and must specify 
the particular activity proposed, the names of the persons and 
organizations sponsoring the activity, the number of participants, and 
the time, date and specific place or places the requester proposes the 
activity occur. In addition, the application shall be signed by the 
requester or by a representative of the requesting organization, if any, 
and contain an address and local telephone number where the requester or 
representative can be reached in the event further information is 
needed.



Sec. 552.111  Severability.

    If a provision of this Regulation is declared unconstitutional, or 
the application thereof to any person or circumstance is held invalid, 
the constitutionality or validity of every other provision of this 
Regulation shall not be affected thereby.



  Subpart I_Physical Security of Arms, Ammunition, and Explosives_Fort 
                            Lewis, Washington

    Source: 56 FR 25040, June 3, 1991, unless otherwise noted.



Sec. 552.112  Purpose.

    To provide enhanced security for the protection of arms, ammunition, 
explosives (AA&E) and sensitive items at Fort Lewis.



Sec. 552.113  References.

    This regulation is to be used in conjunction with the following:
    (a) AR-190-11 with Forces Command and Training Command Supplement 1 
(Physical Security of Arms, Ammunition and Explosives).
    (b) AR 190-13 with Forces Command and Training Command Supplement 1 
(The Army Physical Security Program).
    (c) Fort Lewis Regulation 210-1 (Installation Fort Lewis Post 
Regulations).
    (d) Headquarters Fort Lewis Form 816 (Registration of Personal 
Firearms).



Sec. 552.114  Violations.

    Violations of the provisions of this regulation are subject to 
disciplinary actions under the Uniform Code of Military Justice, 
judicial action as authorized by state or federal law, or administrative 
action as provided by controlling regulation.



Sec. 552.115  Applicability.

    This regulation is applicable to all Active Army, Reserve Officer 
Training Corps (ROTC), U.S. Army Reserve (USAR), and Army National Guard 
(ARNG) units training and/or assigned/

[[Page 303]]

attached to Fort Lewis and its sub-installations. This regulation also 
applies to tenant units/activities stationed on Fort Lewis. It is also 
applicable to all persons, both military and civilian, who reside on or 
who otherwise enter Fort Lewis Military Reservation for whatever reason.



Sec. 552.116  Privately owned weapons--security.

    Privately owned arms and ammunition will be secured in the manner 
required for military weapons and ammunition but separate from military 
arms, ammunition, and explosives (AA&E) items.



Sec. 552.117  Disposition of Commander's Letter of Authorization.

    The unit commander's written approval to withdraw privately owned 
weapons from the unit arms room will be attached to the record of the 
next weekly arms, ammunition, and explosive (AA&E) inventory. Following 
is a Sample Request for Authorization to Withdraw Weapon from Arms Room:

Office Symbol___________________________________________________________
Date____________________________________________________________________
Memorandum for Commander of unit concerned, Fort Lewis, WA 98433
Subject: Request Authorization to Remove Privately Owned Firearm/Weapon 
from the Unit Arms Room
    1. Request authorization to remove the following firearm/weapon 
registered in my name from the arms room. The firearm/weapon is a ------
---- (type) and serial number is ----------------.
    2. The firearm/weapon will be removed on ---------- (date) and 
returned on ---------- (date).
    3. The reason for removal is

._______________________________________________________________________
(Name/rank/unit/signature of individual making request)

Office Symbol 1st End SFC Jones/mmm/telephone CDR, Unit concerned, Fort 
          Lewis, WA 98433
FOR (individual making request plus complete address) Approval is 
          granted.
(Signature block of authorizing official)



Sec. 552.118  Issuance from unit arms room.

    When privately owned weapons are withdrawn from the arms room, DA 
Form 3749 (Equipment Receipt), will be turned in and the weapon will be 
signed out on Headquarters Fort Lewis Form 938 (Weapons/Ammunition and 
Sensitive Item Issue and Turn-In Register). The armorer will provide the 
owner with a copy of Headquarters Fort Lewis Form 816 (Registration of 
Personal Firearms), which will remain with the weapon at all times. When 
the weapon is turned back in to the arms room, the HFL Form 816 will be 
turned in also.



Sec. 552.119  Registration and storage.

    (a) All types of personal weapons to include rifles, shotguns, 
handguns and antique firearms owned by personnel residing on Fort Lewis 
Military Reservation will be registered at the Weapons Registration 
Office, Law Enforcement Command, within 72 hours (three working days) 
after signing in to his/her permanent unit of assignment. HFL Form 816, 
Registration of Personal Firearms, will be completed in triplicate. The 
unit commander is responsible for verifying proof of legal ownership 
paperwork on all data entered on HFL 816. The Military Police Weapons 
Registration Section will retain two copies of the completed 
registration form and issue one copy to the individual to be retained 
with the weapon at all times. The Weapons Registration Section will 
forward one copy of the form to the individual's unit commander. The 
commander's copy of the registration will be maintained in the unit arms 
room for personnel storing personal weapons in the unit arms room. When 
an individual possessing a personal weapon transfers (intra-
installation), the losing commander will ensure that HFL Form 816 is 
forwarded to the gaining commander. The gaining commander will ensure 
that the individual re-registers the personal weapon within 72 hours 
(three working days). The commander of 525th Replacement Detachment is 
responsible for the storage of personal weapons of newly arriving 
personnel, temporarily assigned to the unit. Personnel residing off post 
who wish to bring personal weapons on post are also required to register 
those weapons. Weapons registration forms (HFL 816) will be turned in at 
the Weapons Registration Section when

[[Page 304]]

clearing post. Upon any sale or transfer of a registered weapon, the 
transaction will be immediately reported within 72 hours (three working 
days) to the Registration Office. For additional guidance on weapon 
registration, refer to Fort Lewis Regulation 210-1.
    (b) All soldiers are required to inform the unit commander if they 
are storing privately owned weapons within a 100 mile radius of Fort 
Lewis. Soldiers residing off-post must inform the unit of the location 
of the weapon(s). Those weapons must be registered if they are to be 
brought onto the installation for any type of authorized use.
    (c) Privately owned weapons of soldiers residing in the unit 
billets, Bachelor Enlisted Quarters (BEQ), or Bachelor Officer Quarters 
(BOQ), will be stored in the assigned unit arms room under the following 
provisions:
    (1) Commanders may authorize their personnel who reside in billets, 
BEQ or BOQ to store privately owned weapons in the off post quarters of 
another member of his/her unit or in the quarters of immediate family 
members residing in the area.
    Family members will be considered sponsors for paragraph (b) (2) 
thru (5) of this section.
    (2) A unit member who resides off post may sponsor a maximum of one 
unit member who resides in billets, BEQ or BOQ for storage of privately 
owned weapons.
    (3) Request to store weapons off post must be submitted in writing 
to the unit commander, indicating the name, exact address and phone 
number of the proposed unit sponsor. Request must be accompanied by a 
written authorization from the sponsor to store the weapons, and a copy 
of HFL 816. Request must be kept on file in the unit arms room until 
legal disposition of the weapon is presented to the unit commander.
    (4) Civilians (except for immediate family residing in the area) and 
military dependents will not be considered as sponsors to store 
privately owned weapons for military members.
    (5) Unit commanders have the responsibility to verify the off post 
location for off post storage requests and ensure that military members 
comply with both local and state laws governing possession and use of 
privately owned weapons.
    (d) Weapons stored in unit arms rooms may be issued to registered 
owners only for authorized hunting or participation in authorized target 
practices or matches. Request for issue of a privately owned weapon from 
the arms room must be in writing indicating the inclusive dates and 
times, reasons and serial number of weapon for issue. Weapons stored in 
the unit arms rooms may not be issued to anyone other than the 
registered owner.
    (e) Properly registered privately owned weapons may be kept at the 
owners assigned government family quarters if approved in writing by the 
unit commander. One copy of the completed HFL Form 816 will be 
maintained on file in the unit arms room. Intra-post transfer rules as 
stated in paragraph (a) of this section apply.
    (f) Privately owned weapons with a maximum of 100 rounds of 
ammunition (per weapon) may be stored in the unit arms room. Weapons and 
ammunition will be stored separately. The owner of a privately owned 
weapon will be issued a hand receipt when the weapon and/or ammunition 
is turned in to the arms room. The owner will return the hand receipt 
when the weapon and/or ammunition is removed from the arms room for any 
reason.
    (g) Weapons cancellation and installation clearance will be as 
follows:
    (1) Commander will ensure that privately owned weapons registered 
with Weapons Registration Section are de-registered during the 
outprocessing or when legally disposed of.
    (2) Individuals who register a privately owned weapon and legally 
dispose of the weapon while it is still registered will surrender the 
registration certificate to the Weapons Registration Section at the time 
of disposal along with appropriate disposition documents.



Sec. 552.120  Possession and control.

    (a) Possession of weapons on the post by civilians is prohibited 
with the following exceptions:
    (1) Engaged in authorized hunting.
    (2) Engaged in authorized target practice.

[[Page 305]]

    (3) Engaged in authorized and organized shooting matches.
    (b) Request for authorization for these exceptions will be submitted 
in writing to the Commanding General, I Corps and Fort Lewis. Prior 
coordination for the use of ranges will be made through the Range 
Control Officer or Range Scheduling. Civilians who fail to comply with 
this regulation are subject to charges of Trespassing, Unlawful 
Discharge of a Firearm, and other criminal offenses as applicable.
    (c) Military or civilian personnel are not authorized to bring 
personal weapons into field training sites.
    (d) Carrying of concealed privately owned weapons by either military 
or civilian personnel is prohibited while on the Fort Lewis Military 
Reservation regardless of whether a state or county permit has been 
obtained. For the purpose of this regulation, a concealed weapon is any 
instrument used or designed to be used in an offensive or defensive 
manner which is carried in such a way as to be hidden from ordinary 
view. Folding knives with a blade of three inches or less are 
specifically excluded from this definition. Request to carry concealed 
weapons will be submitted in writing, with full what and why 
justification, to the Commanding General, I Corps and Fort Lewis, 
through appropriate channels.



Sec. 552.121  Possession or retention of prohibited weapons.

    Prohibited weapons are defined as:
    (a) Any instrument or weapon of the kind usually known as a sling 
shot, sand club, metal knuckles, spring blade knife, or any knife from 
which the blade is automatically released by a spring mechanism or other 
mechanism or other mechanical device, or any knife having a blade which 
opens, falls, or is effected into position by force of gravity or an 
outward thrust or centrifugal movement, or any knife with a blade with a 
length in excess of three inches. This does not include knives designed 
for and used during hunting and fishing activities. However, such knives 
may only be carried while participating in those activities. The 
possession of knives kept in quarters and designed for the use in the 
preparation of food is authorized.
    (b) Any incendiary devices, military ammunition and/or explosives.
    (c) Any weapons not legally obtained.
    (d) Any instrument commonly used in the practice of martial arts, 
for example, a nunchaku, except during the legitimate martial arts 
training. If martial arts use is authorized, storage of these 
instruments during nontraining periods will be in a location other than 
the arms room, as designed by the unit commander for soldiers residing 
in troop billets, BEQ or BOQ. Martial arts instruments may be stored in 
assigned government family quarters during nontraining periods.
    (e) Any weapons on which the name of the manufacturer, serial number 
of identification have been changed, altered, removed or obliterated 
unless done for legitimate repair or part replacement.



Sec. 552.122  Personnel not authorized to possess or retain personal 
weapons.

    (a) Possession, retention or storage of personal weapons or 
ammunition by person(s) described below is prohibited:
    (1) Any person who has been convicted in any court of a crime of 
violence. For the purpose of this regulation, a crime of violence is one 
in which the use of force or threat of force is an element.
    (2) Any person who is a fugitive from justice.
    (3) Any person who has been convicted in any court of the 
possession, use, or sale of marijuana, dangerous or narcotic drugs.
    (4) Any person who is presently declared as mentally incompetent or 
who is presently committed to any mental institution.
    (5) Any civilian, or other than a military family member or a law 
enforcement officer authorized to carry the weapon under state or 
federal law, while on Fort Lewis or a sub-installation, except while 
hunting or engaged in authorized target practice or an organized match, 
unless specifically authorized in writing by the Commanding General, I 
Corps and Fort Lewis.
    (b) Any person under the age of eighteen is prohibited from the use 
of firearms unless accompanied and supervised by a parent or legal 
guardian.

[[Page 306]]

    (c) Delivery of a personal handgun to persons known to be under the 
age of twenty-one, persons known to have been convicted of a crime or 
violence, persons known to be a drug abuser or under the influence of 
drugs, persons known to be an alcoholic or currently under the influence 
of alcohol or a person known to be of unsound mind, is prohibited.



Sec. 552.123  Storage of personal weapons other than firearms or handguns.

    Privately owned weapons, such as knives, swords, air guns, BB guns, 
cross bows, pellet guns, bow and arrows, of personnel residing the unit 
billets will be stored in a separate locked container, within a secured 
storage area designated for this purpose by the unit commander, in a 
location other than the unit arms room.



Sec. 552.124  Transportation of privately owned weapons and ammunition.

    (a) Privately owned firearms and ammunition will be transported in 
the following manner:
    (1) Weapons, other than weapons being transported into Fort Lewis 
for the first time, may be carried in vehicles only when traveling to 
and from an authorized hunting area during hunting seasons or enroute to 
or from authorized target practice and matches.
    (2) The carrying of loaded privately owned weapons in a vehicle is 
prohibited.
    (3) Privately owned weapons carried in a vehicle will be secured in 
the trunk or encased and carried in such a manner that they will not be 
readily available to the driver or passenger.
    (b) Personnel who remove privately owned weapons from Fort Lewis or 
sub-installations will comply with applicable Federal, state, and local 
laws pertaining to the ownership, possession and/or registration of 
weapons.



Sec. 552.125  Disposition of confiscated weapons.

    Commanders will maintain confiscated weapons in the unit arms room 
pending final disposition. They will provide written notification of the 
circumstances or loss or recovery of such weapons and a complete and 
accurate description of the weapon to Commander, I Corps and Fort Lewis, 
ATTN: AFZH-PMS-P, Fort Lewis, WA 98433-5000. A copy of this notification 
will be maintained with the weapon pending final disposition.



Subpart J_Control of Firearms, Ammunition and Other Dangerous Weapons on 
                               Fort Gordon

    Source: 56 FR 37130, Aug. 2, 1991, unless otherwise noted.



Sec. 552.126  Definitions.

    For the purpose of this part, the following definitions apply:
    (a) Ammunition. Projectiles together with their fuses, propelling 
charges, and primers that are designed to be expelled from a firearm. 
This includes any type of military and commercial ammunition (ball, 
trace, incendiary, blank, shotgun, black powder, and shot). Items shall 
only be considered as ammunition when loaded into a cartridge with its 
bullet and primer.
    (b) Pellet and BB Guns. Any type rifle, pistol, or other instrument 
designed or redesigned, made or remade, modified or remodified to expel 
BBs or pellets by springs, compressed air, CO2, or any other 
compressed gas cartridge.
    (c) Dangerous Instruments. Any device which is designed or 
redesigned, made or remade, modified or remodified to be used as an 
offensive or defensive weapon. Devices of this type include but are not 
limited to:
    (1) ``Constant companion'' or any similar weapon, designed or 
redesigned, made, or remade modified or remodified to be worn as a belt 
buckle, brass knuckles, ``Knucklers,'' and ``Knucks.''
    (2) Studded or spiked wrist bands, or any device designed or 
redesigned, made or remade, modified or remodified to fit over the hand 
or wrist which can be used to cause grave bodily harm.
    (3) Blackjacks, slapjacks, slappers, saps, including homemade 
substitutes, other bludgeons (with or without handles), and metal pipes.
    (4) ``Nanchaku'' (num-chucks), two or more sticks connected by rope, 
cord, or chain and normally used as a martial

[[Page 307]]

arts weapon. ``Shuriken'', a disc or any geometrical object designed to 
be thrown as a weapon. ``Manrikiqusari'' or ``Kusari,'' a rope or cord 
joined to a weight at each end and designed to be used as a weapon. 
``Sai'' fighting forks or other similar weapons.
    (5) Any finger ring with blades or sharp objects that are capable of 
being projected/extended from the surface of the ring.
    (6) Any device capable and primarily intended for discharging darts 
or needles.
    (7) All firearms.
    (8) Slingshots (not including small slingshots made for use by 
children), other missile throwing devices, or any other instrument 
designed to produce bodily harm.
    (d) Explosive, incendiary, and pyrotechnic devices. Any type of 
military or commercial explosive, incendiary, gas or smoke bomb, 
grenade, rocket, missile, mine, blasting cap, ``dummy'' and/or practice 
device such as simulators, and other similar detonating devices which 
are capable of being altered to contain a live charge, and pyrotechnic 
devices such as firecrackers, cherry bombs, bottlerockets, and 
starclusters.
    (e) Firearms. (1) A shotgun having a barrel or barrels of less than 
18 inches in length.
    (2) A weapon made from a shotgun, if such weapon as modified has an 
overall length of less than 26 inches or a barrel or barrels of less 
than 18 inches in length.
    (3) A rifle having a barrel or barrels of less than 16 inches in 
length.
    (4) A weapon made from a rifle if such weapon as modified has an 
overall length of less than 26 inches or a barrel or barrels of less 
than 16 inches in length.
    (5) A machine gun.
    (6) A muffler or a silencer for any firearm whether or not such 
firearm is included within this definition. The term shall not include 
an antique firearm or any device (other than a machine gun) which, 
although designed as a weapon, by reason of the date of its manufacture, 
value, design, and other characteristics is primarily a collector's item 
and is not likely to be used as a weapon. For purpose of this 
definition, the length of the barrel on a shotgun or rifle shall be 
determined by measuring the distance between the muzzle and the face of 
the bolt, breech, or breechlock when closed and when the shotgun or 
rifle is cocked. The overall length of a weapon made from a shotgun or 
rifle is the distance between the extreme ends of the weapon measured 
along a line parallel to the center line of the bore.
    (f) Knives, sabers, swords, and machetes. Any instrument having a 
sharp blade which is fastened to a handle, or made with a handle. 
Measurement of the blade will be from the tip of the blade to the point 
where the blade meets the handle. This includes folding knives, 
switchblades, gravity knives, stilettos, lock blade knives, swords, 
sabers, and machetes.
    (g) Machine gun and automatic weapon. Any weapon which shoots, is 
designed to shoot, or can be readily restored to shoot automatically 
more than one shot without manual reloading, by a single function of the 
trigger. The term shall also include the frame or receiver of any such 
weapon, any part designed and intended solely and exclusively, or 
combination of parts designed and intended, for use in converting a 
weapon into a machine gun, and any combination of parts from which a 
machine gun can be assembled if such parts are in the possession or 
under the control of a person.
    (h) Pistol. A weapon originally designed, made, and intended to fire 
a projectile (bullet) from one or more barrels when held in one hand, 
and having:
    (1) A chamber(s) as an integral part(s) of, or permanently aligned 
with, the bore(s).
    (2) A short stock designed to be gripped by one hand and at an angle 
to and extending below the line of the bore(s).
    (i) Public gathering. Shall include, but shall not be limited to, 
athletic or sporting events, schools or school functions, churches or 
church functions, rallies, or establishments at which alcoholic 
beverages are sold for consumption on the premises.
    (j) Revolver. A projectile weapon, of the pistol type, having a 
breechloading chambered cylinder so arranged that

[[Page 308]]

the cocking of the hammer or movement of the trigger rotates it and 
brings the next cartridge in line with the barrel for firing.
    (k) Rifle. A weapon designed or redesigned, made or remade, and 
intended to be fired from the shoulder. Also, designed or redesigned and 
made or remade to use the energy of the explosive in a fixed cartridge 
to fire only a single projectile through a rifled bore for each single 
pull of the trigger, and shall include any such weapon which may be 
readily restored to fire a fixed cartridge.
    (l) Shotgun. A weapon designed or redesigned, made or remade, and 
intended to be fired from the shoulder; and designed or redesigned, made 
or remade, to use the energy or the explosive in a fixed shotgun shell 
to fire through a smooth bore either a number of projecting (ball shot) 
or a single projectile for each single pull of the trigger and shall 
include any such weapon which may be readily restored to fire a fixed 
shotgun shell.
    (m) Silencer. Any device for silencing, muffling, or diminishing the 
report of a portable firearm, including any combination of parts, 
designed or redesigned, and intended for the use in assembling or 
fabricating a firearm silencer or firearm muffler, and any part intended 
only for use in such assembly or fabrication.
    (n) Weapon. An instrument used in an offensive or defensive manner.



Sec. 552.127  Prohibitions.

    (a) Prohibited items. It is prohibited to possess, carry, conceal, 
transport, store, transfer or sell any of the following weapons or 
devices, on, through, or within the confines of Fort Gordon unless 
specifically allowed elsewhere in this part:
    (1) Sawed-off shotgun.
    (2) Sawed-off rifle.
    (3) Machine gun and automatic weapons.
    (4) Silencers.
    (5) Dangerous instruments as defined in Sec. 552.126(c) of this 
part.
    (6) Explosives, Incendiary and Pyrotechnic Devices, as defined in 
Sec. 552.126(d) of this part.
    (7) Knives with automatic blade openers (i.e., switch blades, 
gravity knives, stilettos) of any blade length. Folding or fixed bladed 
knives with a blade length of more than 3 inches. Swords, sabers, and 
machetes with sharpened blades.
    (8) Any object which carries an electrical current of sufficient 
wattage to deliver a shock to a person, such as cattle prods, stun guns, 
``taser'' or ``public defenders.''
    (9) Umbrellas, canes, or walking sticks with sharpened points or 
removable handles which convert into a sword type instrument.
    (b) Carrying a concealed weapon. A person commits the offense of 
carrying a concealed weapon when he/she knowingly has or carries about 
his/her person, unless in an open manner and fully exposed to view, any 
bludgeon, metal knuckles, firearm, or knife designed for the purpose of 
offense and/or defense, or any other dangerous or deadly weapon or 
instrument of like character outside of his/her home or place of 
business.
    (c) Carrying deadly weapons to or at public gatherings. A person 
commits an offense under this section when he/she carries to, or 
possesses while at, a public gathering any explosive compound, firearm, 
or knife designed for the purpose of offense and/or defense. This 
paragraph shall not apply to necessary equipment for military personnel 
in a formation when a weapon is required, or to police/security 
personnel while in performance of their duties.
    (d) Prohibited possession and storage. It is prohibited to possess 
or store ammunition, firearms, knives with blades more than 3 inches, 
bows and arrows, crossbows, and BB and pellet guns, in locations other 
than those specified in Sec. 552.128 except under conditions specified 
in Sec. 552.129. Prohibited locations for these items include, but are 
not limited to, living spaces and common areas of billets, squad rooms, 
privately-owned vehicles, exterior storage sheds, camper trailers, and 
offices. Commanders will designate an arms room and times for weapons 
turn-in. During periods when arms rooms are closed, the Staff Duty 
Officer (SDO) will ensure the weapon is secured in accordance with (IAW) 
this subpart. A receipt will be given for each weapon received, 
reflecting the weapon's make, serial

[[Page 309]]

number, identity of owner and other data deemed appropriate.
    (e) Carrying of straight razors, unless the razor is in the original 
sealed package, is prohibited.
    (f) Exemptions. Nothing in this subpart shall prohibit:
    (1) Military members or DOD civilian employees from possessing or 
using military weapons, military ammunition or explosives, or military 
devices in a lawful manner while in the performance of their military 
duties while acting under orders of superior military authority, for 
training, or other authorized purposes, as prescribed by applicable Army 
Regulations.
    (2) Military and DOD civilian personnel, while in the performance of 
official law enforcement duties, from possessing or using government 
ammunition, explosives or devices in a lawful manner, as prescribed by 
applicable laws or regulations or by their lawful superiors.
    (3) Federal, state, county or local law enforcement personnel, while 
in the performance of official law enforcement duties, from possessing 
or using government or privately-owned weapons, ammunition, explosives 
or devices in a lawful manner, as prescribed by applicable laws or 
regulations or by their lawful superiors.
    (4) Government contractors, while in performance of their contract 
from possessing or using weapons, ammunition, explosives or devices, IAW 
the provisions of their contract and as determined by the contracting 
officer.
    (5) Individuals with Federal firearms licenses (class III) from 
possessing, carrying, and transporting class III weapons IAW Federal 
regulations; however, they are prohibited from concealing, storing, 
transferring, or selling class III weapons within the confines of Fort 
Gordon.
    (6) Individuals from possessing, carrying, transporting, or storing 
decorative, ornamental, and ceremonial swords and sabers within the 
confines of Fort Gordon when used strictly for display and ceremonies.
    (7) Individuals and agencies from possessing, transporting, storing, 
selling, or using fixed bladed knives with a blade length of more than 3 
inches when used for their lawful purpose (i.e., steak knives, cooking 
knives, hunting knives) and when in compliance with all other 
requirements in this subpart.
    (8) Flares used for emergency warning devices in automobiles may be 
transported in the locked trunk or glove compartment of an automobile.



Sec. 552.128  Requirements for possession and use.

    All persons entering or otherwise on Fort Gordon may possess 
legally-defined and privately-owned firearms, ammunition, pellet and BB 
guns, knives, bows and arrows, and crossbows under the following 
conditions:
    (a) Privately-owned firearms, crossbows, pellet and BB guns 
possessed or stored on the installation must be registered at the 
Installation's Provost Marshal Office within 3 working days after 
arrival on the installation, or after obtaining the weapon, except:
    (1) Firearms legally brought onto the installation for the purpose 
of hunting or firing at an approved firing range, and only for the 
period of time the person possessing the firearms is hunting or firing 
on the range.
    (2) Firearms carried by federal, state, county, or local law 
enforcement personnel when in the performance of official law 
enforcement duties.
    (b) Personnel residing in family housing, bachelor officers' 
quarters/bachelor enlisted quarters/visiting officer quarters (BOQ/BEQ/
VOQ) and guest housing, may store legally-acquired, authorized 
ammunition, knives with a blade measuring more than 3 inches, bows and 
arrows, registered crossbows, registered pellet and BB guns, and 
registered firearms within their quarters.
    (c) Personnel residing in troop billets may store legally-acquired 
authorized ammunition, knives and blades measuring more than 3 inches, 
bows and arrows, registered crossbows, registered pellet and BB guns and 
registered firearms in unit arms rooms. The unit arms room should 
utilize a standard weapons card and log book to document storage, 
removal, and return.
    (d) Persons 17 or under must be accompanied by a person over the age 
of 21, who will be responsible for compliance with the requirements of 
this subpart while hunting or target shooting

[[Page 310]]

on the installation and when purchasing legal arms (including knives 
with blades over 3 inches) and ammunition from installation retail 
outlets.
    (e) Persons must be in compliance with federal and state laws 
regarding possession (i.e., age, criminal record restrictions, etc.).
    (f) Storage, accountability, and registration procedures will be in 
accordance with (IAW) Army Regulation (AR) 190-11 (Physical Security of 
Arms, Ammunition and Explosives) and supplements. Copies of the AR may 
be obtained from the National Technical Information Service, 5285 Port 
Royal Road, Springfield, VA 22161.
    (g) Loss or theft of firearms and ammunition will be reported to the 
Fort Gordon military police desk sergeant immediately. Reports will 
contain all available details of the incident and a description of the 
lost item.



Sec. 552.129  Requirements for carrying and use.

    Persons legally authorized to possess firearms, ammunition, knives 
(with blades longer than 3 inches), bows and arrows, and crossbows, may 
carry or transport legally possessed and registered (if required) 
weapons under the following conditions:
    (a) For purposes of hunting: From quarters, on or off the 
installation, by the most direct route to hunting area and return. 
Stopping at other installation facilities while en route is prohibited 
(i.e., post exchange, club, offices, etc.). Individual must have in his/
her possession weapon registration (if applicable), valid state hunting 
license, valid Fort Gordon hunting permit and an area access pass (if 
applicable).
    (b) For purposes of target shooting, selling the weapon or having 
the weapon repaired: From quarters by the most direct route to approved 
range or to the location where the weapon is to be sold or repaired and 
returned. Stopping at other installation facilities while en route is 
prohibited. Individual must have in his/her possession at all times his/
her registration (if applicable).
    (1) When carried, weapons will be carried in an open manner (not 
concealed). Firearms will be unloaded when carried (i.e., projectiles 
physically separated from the firearms, not just removed from the 
chamber), except when actually engaged in hunting or shooting. Knives 
will be carried in a sheath or scabbard worn in a clearly visible 
manner. Commanders may authorize the carrying of a privately-owned, 
knife with a blade over 3 inches to field duty. The provost marshal may 
authorize the carrying of a privately-owned, sheathed, lock blade knife 
on military and DOD police officers' pistol belts.
    (2) When transported in a vehicle, weapons will be in plain view in 
the passenger area of the vehicle or secured (locked) in the trunk or 
other rear compartment of the vehicle, not readily accessible from the 
passenger area (i.e., locked tool box secured to bed of a truck). 
Firearms will be unloaded and the ammunition physically separated from 
the firearms. THE GLOVE COMPARTMENT OF A VEHICLE IS NOT AN AUTHORIZED 
COMPARTMENT FOR STORING PISTOLS.
    (3) Firearms, bows and arrows, crossbows, pellet and BB guns will 
not be loaded, fired, or used within any housing area or cantonment area 
of the installation; within 50 yards of any public highway, street or 
Fort Gordon named street or numbered road, or across same; within 100 
yards of any designated recreation area, managed waters, building or 
similar structures; any aircraft landing facility; any ammunition 
storage area (except on approved firing ranges when properly 
authorized); be discharged from vehicles.



Sec. 552.130  Disposition of confiscated/seized weapons.

    All weapons, ammunition, explosives, or other devices defined in 
this subpart, that are confiscated pursuant to the commission of a crime 
or violation of this subpart or other regulation or found unsecured/
unattended on the installation, will be immediately turned over to the 
military police, U.S. Army Criminal Investigation Command (USACIDC), or 
the Federal Bureau of Investigation (FBI) for investigation, retention 
as evidence, or other law disposition. When retention for investigation 
or evidence is no longer required by military police, USACIDC, or other 
law enforcement or judicial agencies, the items will be disposed of 
under the

[[Page 311]]

provisions of AR 195-5, Evidence Procedures. Copies of the AR may be 
obtained from the National Technical Information Service, 5285 Port 
Royal Road, Springfield, VA 22161.



  Subpart K_Restriction of Training Areas on the Installation of Fort 
                       Benjamin Harrison, Indiana

    Authority: 16 U.S.C. 470; 1531-1543; 18 U.S.C. 1382; 50 U.S.C. 797.

    Source: 59 FR 42755, Aug. 19, 1994, unless otherwise noted.



Sec. 552.140  Purpose.

    (a) This subpart establishes restrictions governing the operation of 
unauthorized vehicles, motorized and non-motorized, on the army training 
areas of Fort Benjamin Harrison, Indiana, as defined in Sec. 552.134 of 
this subpart. Unauthorized vehicles are restricted to paved roads on the 
installation of Fort Benjamin Harrison, Indiana.
    (b) These restrictions are established to prevent the interruption 
of the use of these Army training areas by any person or persons. The 
continued and uninterrupted use of these training areas by the military 
is vital in order to maintain and improve the combat readiness of the 
U.S. Armed Forces. Training conditions exist within these areas which 
could be dangerous to unauthorized persons entering these areas.
    (c) In addition, these restrictions have been established to prevent 
property damage, threatening of endangered flora and fauna in the areas, 
and to prevent the harassment of protected species such as the Blue 
Heron and the Indiana Bat by any person or persons.



Sec. 552.141  Applicability.

    The restrictions outlined in this subpart apply to all individuals, 
with the exception of soldiers and Army civilian employees and 
authorized contractors, who may enter the restricted areas in the 
performance of their official duties.



Sec. 552.142  References.

    Required and related publications are listed below. U.S. Codes 
referenced in this subpart can be obtained from the Government Printing 
Office or can be reviewed in any Public Library. Army publications 
referenced in this subpart may be obtained from the U.S. Army 
Publications and Printing Command, Alexandria, VA 22331-0302.
    a. 16 U.S.C. 1531-1543.
    b. 16 U.S.C. 470.
    c. Title 18, U.S.C. 1382.
    d. Internal Security Act of 1950, section 21 (50 U.S.C. 797).
    e. Army Regulation 420-74.
    f. 10 U.S.C. 801-940.
    g. Article 92, Uniform Code of Military Justice.



Sec. 552.143  Definitions.

    (a) For purpose of this subpart, restricted areas on the 
installation of Fort Benjamin Harrison, Indiana area defined as training 
areas A thru J, to include the gold course. A map defining these areas 
is located in the Directorate of Plans, Training, and Mobilization, 
Security, Plans and Operations Division, Training Branch, Building 600, 
Room B, Fort Benjamin Harrison, Indiana.
    (b) Unauthorized motor and non-motorized vehicles are defined as any 
wheeled or tracked vehicle. This may include, but not limited to, 
bicycles, ATV, snow mobiles, motor cycles, automobiles, trucks, etc.



Sec. 552.144  Procedures.

    (a) Except for the soldiers, Army civilians and authorized 
contractors who enter the restricted areas in the performance of their 
official duties, entry of unauthorized vehicles is prohibited for any 
purpose whatsoever without the advanced consent of the Commander, United 
States Army Soldier Support Center (USASSC), Fort Benjamin Harrison, 
Indiana, or his/her authorized representative.
    (b) Any person or group of persons desiring advanced consent shall, 
in writing, submit a request to the following address: HQ, USASSC and 
Fort Benjamin Harrison, ATTN: Public Affairs Office, Building 600, Fort 
Benjamin Harrison, Indiana 46216-5040.



Sec. 552.145  Violations.

    (a) Any person/persons entering or remaining on any training area as 
defined in Sec. 552.134 without the advance

[[Page 312]]

consent of the Commander, USASSC, or his authorized representative, 
shall be subject to the penalties prescribed by Sec. 552.133 of this 
subpart, which provides in pertinent part: ``Whoever, within the 
jurisdiction of the United States, goes upon any military, naval, or 
Coast Guard reservation, post, fort, arsenal, yard, station or 
installation, for any purpose prohibited by law or lawful regulation * * 
* shall be fined for not more than $500.00 or imprisoned not more than 
six months, or both.
    (b) Moreover, any person who willfully violates this subpart is 
subject to a fine not to exceed $5,000.00 or imprisonment for not more 
than 1 year as provided in Sec. 552.133(d) of this subpart.
    (c) In addition, violation of this subpart by persons subject to the 
Uniform Code of Military Justice (10 U.S.C. 801-940) is a violation of 
Article 92 of the Uniform Code of Military Justice.



  Subpart L_Prohibited Personnel Practices on the Installation of Fort 
                         Jackson, South Carolina

    Authority: 10 U.S. Code, Ch. 47, 21 U.S. Code 801, et seq.

    Source: 59 FR 31144, June 17, 1994, unless otherwise noted.



Sec. 552.150  Purpose.

    This part is punitive in nature and applies to all persons assigned 
to, attached to, or present on the installation of Fort Jackson, South 
Carolina. A violation of, attempted violation of, or solicitation or 
conspiracy to violate any provision of this part provides the basis for 
criminal prosecution under the Uniform Code of Military Justice, 
applicable Federal Law, other regulations, and/or adverse administrative 
action. Civilian visitors may be barred from the installation of Fort 
Jackson and prosecuted under appropriate Federal laws. The enumeration 
of prohibited activities in this part is not intended to preclude 
prosecution under other provisions of law or regulation.



Sec. 552.151  Scope.

    This part does not list all activities or practices prohibited on 
the installation of Fort Jackson, South Carolina. Various other Army and 
Fort Jackson regulations specifically prohibit other activities or 
practices. See appendix A to this subpart.



Sec. 552.152  Prohibited practices.

    The following activities are prohibited:
    (a) The possession, delivery, sale, transfer, or introduction into 
the installation of Fort Jackson of any device, instrument or 
paraphernalia designed or reasonably intended for use in introducing 
into the human body a controlled substance, as defined in the Controlled 
Substances Act, 21 U.S.C. 801, et seq., is prohibited.
    (b) Unless an exception is approved by the Chief of Staff or a Major 
Subordinate Commander for a special occasion, consumption of alcoholic 
beverages, or the possession of an open container thereof, is prohibited 
under the circumstances listed in this section. For the purpose of this 
part, an ``alcoholic beverage'' is any liquid beverage containing any 
amount of ethyl alcohol, including wines, malt beverages and distilled 
spirits.
    (1) By military personnel in uniform during duty hours (0730-1630).
    (2) By military personnel during their assigned duty hours when 
different than those in paragraph (b)(1) of this section.
    (3) By civilian employees during their assigned duty hours. Lunch 
time is not considered duty time for civilian employees.
    (4) By civilian or military personnel in places of duty.
    (5) By any person in a public place, except: in the Twin Lakes and 
Weston Lake Recreational Areas, in the immediate vicinity of Oyster 
Point (Officers' Club), at installation club facilities governed by 
section II of AR 215-2, and at Army/Air Force Exchange Service (AAFES) 
eating establishments which serve alcoholic beverages for on-premises 
consumption.
    (6) By any person in any Fort Jackson parking lot or parking area, 
to include the Burger King parking lot and all parking lots of AAFES 
facilities and installation club facilities.
    (c) The presence of any person in a training area or of any 
permanent party soldier or civilian employee in a trainee/receptee 
billeting area while

[[Page 313]]

impaired by alcoholic beverages or illegal drugs is prohibited. For the 
purpose of this part, ``Impaired by alcoholic beverages'' for military 
personnel is defined as having a blood alcohol level of .05 percent (.05 
is equivalent to 55 milligrams of alcohol per 100 milliliters of blood) 
or more.
    (d) Privately Owned Firearms and Ammunition. For the purpose of this 
part, a ``firearm'' means any device which is designed to or readily may 
be converted to expel a projectile by the action of an explosive. Air/
pellet guns, BB guns and bows are subject to all of the provisions of 
this paragraph except paragraph (d)(1) of this section.
    (1) It is prohibited for persons residing on the installation to 
fail to register privately owned firearms with their unit commander.
    (2) Storage of privately owned firearms in the barracks is 
prohibited. For the purposes of this part, ``barracks'' does not include 
BOQs or SBEQs.
    (3) It is prohibited to store privately owned firearms in BOQs, 
SBEQs, or family quarters unless the firearm is unloaded, ammunition is 
stored separately from the firearm in a locked container, and one of the 
following methods for firearms storage is employed: by using a trigger 
locking device, by storing the firearm in a locked container, by 
removing the firing pin from the firearm and storing the firing pin in a 
locked container, or by disassembling the firearm and storing the 
disassembled parts in separate places. For the purposes of this part a 
``locked container'' and a ``locking device'' mean locked containers and 
locking devices the keys to which are stored in a place not assessable 
to persons under 18 years of age.
    (4) It is prohibited to carry on one's person any privately owned 
firearm in a public place on the installation of Fort Jackson unless 
participating in an authorized sporting activity or hunting in 
accordance with applicable regulations.
    (5) In addition to the requirements of paragraph (d)(4) of this 
section, a person under 18 years of age is prohibited from carrying on 
his or her person a firearm outside the presence of a responsible adult.
    (6) Carrying a concealed firearm on one's person, except by 
military, state and Federal law enforcement authorities in the 
performance of their duties, is prohibited.
    (7) It is prohibited to transport in a vehicle any privately owned 
firearm except in a manner prescribed by the laws of South Carolina.
    (8) It is prohibited to carry on one's person or transport in a 
vehicle any privately owned firearm within the Weston Lakes and Twin 
Lakes Recreation areas.
    (e) Weapons Other Than Privately Owned Firearms. The possession of 
the following privately owned weapons or devices is prohibited:
    (1) Any knife having a switchblade or automatic blade.
    (2) Brass knuckles or similar devices.
    (3) Blackjacks, saps, nunchaku and similar devices. As exceptions, 
nunchucks may be possessed for bona fide educational instruction or 
competition in a recognized martial arts program and may be carried and 
transported directly to and from educational and competitive martial 
arts events.
    (4) When carried on one's person in an unconcealed manner, knives 
with blades in excess of three inches in length except while engaged in 
authorized hunting, fishing, camping or other outdoor recreational 
activities, or when required by duty purposes.
    (5) When carried on one's person in a concealed manner, knives with 
blades in excess of three inches, razors and ice picks.
    (f) The charging of a usurious interest rate, defined as a rate 
exceeding thirty-six (36) percent per annum or three (3) percent per 
month, for the loan of money or for the extension of credit, is 
prohibited.
    (g) Sexual intercourse or any indecent, lewd or lascivious act in 
any office, barracks, training area, duty location, parking lot, public 
recreation area or public place is prohibited.
    (h) Relationships between service members of different rank or sex 
which involve or reasonably give the appearance of partiality, 
preferential treatment, the improper use of rank or position for any 
personal gain, or which can otherwise be reasonably expected

[[Page 314]]

to undermine discipline, authority or morale, are prohibited.
    (i) Being present in any ``off-limits'' or ``limited access'' areas, 
except as authorized in Fort Jackson Regulation 190-3, is prohibited 
(See appendix A to this subpart).
    (j) Use of a metal detector for other than official purposes is 
prohibited.
    (k) When directed to do so by the Military Police, failure to 
relinquish possession or control to the Military Police of abandoned 
property found on the installation is prohibited.
    (l) Scavenging in or removal of waste items or recyclable materials 
from dumpsters, garbage cans, outdoor trash receptacles, recycling 
collection points, or landfill areas is prohibited, except for official 
purposes. This part does not prohibit persons from collecting and 
disposing of scattered litter, including aluminum cans, from roadsides, 
parking lots and recreation areas.
    (m) It is prohibited for military personnel to engage in outside 
employment of any nature, including ownership or operation of a private 
business, without the prior written approval of their commander. 
Soldiers reassigned or reattached from one Fort Jackson unit to another 
Fort Jackson unit must obtain approval for continued employment from the 
gaining commander within 30 days of reassignment.
    (n) Except as authorized by the Installation Commander, Chief of 
Staff or a Major Subordinate Commander, the use of radios, stereos, tape 
players, compact disk players or any other similar electronic sound 
generating or amplification source, including equipment installed or 
located in motor vehicles, in a manner that can be heard more than 125 
feet from the source, is prohibited. This paragraph does not apply to 
law enforcement or emergency vehicles, or safety warning devices.
    (o) Loitering in any public place on Fort Jackson, to include all 
parking lots, is prohibited. Loitering is defined as remaining idle in 
essentially one location, spending time idly, loafing, or walking around 
without a purpose in a public place in such a manner as to create a 
disturbance or annoyance to the comfort of any person, create a danger 
of a breach of the peace, obstruct or interfere with any person lawfully 
in any public place, or obstruct or hinder the free passage of vehicles 
or pedestrians. Any person loitering as defined above in any public 
place may be ordered by a law enforcement officer to leave that place or 
the Fort Jackson military reservation.



Sec. 552.153  Dissemination.

    (a) Unit commanders and supervisors shall ensure that newly assigned 
or attached military and civilian personnel are informed of the 
prohibitions contained in this regulation. Soldiers-in-training will be 
informed of the provisions of this regulation at the beginning of each 
training cycle.
    (b) All permanent party personnel and civilian employees will be 
reminded annually of their duty to comply with this part.

Appendix A to Subpart L of Part 552--Partial List of Other Publications 
       Applicable on Fort Jackson Which List Prohibited Practices

    These publications are available for inspection at the Office of the 
Staff Judge Advocate, Fort Jackson, SC 29207-5000.
    1. Distribution of Written Materials on the Installation--Fort 
Jackson Supplement 1 to AR 210-10.
    2. Demonstrations, Pickets, Sit-ins, etc.--Fort Jackson Supplement 1 
to AR 210-10.
    3. Standards of Ethical Conduct for Employees of the Executive 
Branch, 5 Code of Federal Regulations, part 2635.
    4. Improper Associations--Fort Jackson Regulation 600-5.
    5. Mistreatment of Soldiers-in-Training--Fort Jackson Regulation 
350-1.
    6. Participation in Military Labor Unions--Army Regulation 600-20.
    7. Traffic Violations--Fort Jackson Regulation 190-5.
    8. Areas of Access--Fort Jackson Regulation 190-3.



 Subpart M_Land Use Policy for Fort Lewis, Yakima Training Center, and 
                             Camp Bonneville

    Authority: 16 U.S.C. 470, 1531-1543; 18 U.S.C. 1382; 50 U.S.C. 797.

    Source: 59 FR 34762, July 7, 1994, unless otherwise noted.

[[Page 315]]



Sec. 552.160  Purpose.

    (a) This subpart establishes procedures for entry to maneuver 
training areas at Fort Lewis, Yakima Training Center (YTC), and Camp 
Bonneville. Procedures for other sub-installations to Fort Lewis will be 
developed by the Commanders of those installations.
    (b) Uninterrupted military use of training areas is vital to the 
maintenance of US and Allied Armed Forces combat readiness. In addition, 
maneuver training areas may be dangerous to persons entering without 
warnings provided during training scheduling or use permit processing.



Sec. 552.161  References.

    See appendix E to this subpart.



Sec. 552.162  Abbreviations.

    See appendix F to this subpart.



Sec. 552.163  Applicability.

    (a) This subpart is applicable to all military and civilian users of 
the range complexes at Fort Lewis, Yakima Training Center, and Camp 
Bonneville.
    (b) This subpart governs all use of the Fort Lewis, Yakima Training 
Center and Camp Bonneville Military Reservations outside cantonment 
areas, housing areas, and recreational sites controlled by the Director 
of Personnel and Community Activities (DPCA). These areas are designated 
on the Fort Lewis, Yakima Training Center and Camp Bonneville Military 
Installation Maps as Impact Areas and lettered or numbered Training 
Areas (TAs), and comprise the range complexes for each Installation.



Sec. 552.164  General.

    (a) Military training. Use of the Fort Lewis, Yakima Training 
Center, and Camp Bonneville range complexes for military training is 
governed by FL Regs 350-30, 350-31, and 350-32. Scheduling is per FL 
Policy Statement 350-2. Military training always has priority.
    (b) Hunting. Hunting, fishing, and trapping on the range complexes 
are governed by FL Reg 215-1 and the Yakima Training Center Hunting 
Letter of Intent (LOI).
    (c) Fund raising. Fund raising events for non-profit private 
organizations not affiliated with the Army or Fort Lewis per AR 210-1 
require a Corps of Engineers Real Estate Agreement. Requests for fund-
raisers by such non-profit organizations, to be conducted on the Fort 
Lewis range complex, will be sent to the Director of Plans, Training, 
and Mobilization (DPTM) Range Division of preparation of a DPTM staffing 
document. The document will be circulated for comment to Director of 
Personnel and Community Activities (DPCA), Staff Judge Advocate (SJA), 
Public Affairs Officer (PAO), and Director of Engineering and Housing 
(DEH). If the event can be supported, DPTM will advise the organization 
to contact the Director of Engineering and Housing Real Property Branch. 
Requests for such activities at Yakima Training Center will be sent to 
the Yakima Training Center Commander for review and processing. For Camp 
Bonneville, the entry point is the Vancouver Barracks Commander. Corps 
of Engineers Real Estate Agreements require up to 8 months to process, 
and includes payment of a $375.00 minimum administrative fee, with 
actual costs determined on a case by case basis. Requests for 
fundraisers in the cantonment area by private organizations are 
processed per AR 210-1 by the Director of Personnel and Community 
Activities (DPCA).
    (d) Commercial use. Individuals or organizations using the range 
complex for profit-generating activities must possess a Corps of 
Engineers Real Estate Agreement. As stated above, these agreements 
require up to 8 months to process and include a minimum administrative 
fee of $375.00, with actual costs determined on a case by case basis. 
Entry point for these agreements is the DEH Real Property Branch. 
Profit-generating activities include collection of fees for services 
performed on the range complex, or selling materials collected from the 
range complex. Real Estate Agreement holders must check into the range 
complex daily by calling or coming to Area Access.
    (e) Installation service and maintenance. Department of Defense 
(DoD) and contractor personnel on official business are authorized on 
the range complex per appendix C to this subpart.

[[Page 316]]

Access to hazard areas for such personnel is governed by the appropriate 
Installation Range Regulations.
    (f) Non-DoD personnel in transit. Individuals in transit across Fort 
Lewis on State or County maintained roads, or roads designated for 
public access by the Installation Commander, require no special permits. 
See appendix B to this subpart. This measure does not apply at Yakima 
Training Center or Camp Bonneville.
    (g) Alcoholic Beverages. No alcoholic beverages may be consumed on 
the range complexes except as authorized per FL Reg 210-1.
    (h) Failure to comply. Persons entering the Fort Lewis, Yakima 
Training Center, or Camp Bonneville range complex without permit or 
scheduling, which constitute the consent of the Commanding Officer or 
his designated representative, are in violation of this regulation and 
trespassing on a controlled access Federal Reservation. Offenders may be 
cited by Military Police and may be subjected to administrative action 
or punishment under either the Uniform Code of Military Justice UCMJ) or 
Title 18 US Code Section 1382, or Title 50 U.S. Code Section 797, as 
appropriate to each individual's status. Administrative action may 
include suspension or loss of recreational privileges, or permanent 
expulsion from the Military Reservations.



Sec. 552.165  Responsibilities.

    (a) Commander, Yakima Training Center:
    (1) Schedule the Yakima Training Center range complex per FL Reg 
350-31 and FL PS 350-2.
    (2) Process requests for non-military, non-commercial use per Sec. 
552.166.
    (b) Commander, Vancouver Barracks:
    (1) Schedule the Camp Bonneville range complex per FL Reg 350-32 and 
FL PS 350-2.
    (2) Process requests for non-military, non-commercial use per 
Paragraph 6c.
    (c) Fort Lewis DPTM.
    (1) Schedule the Fort Lewis range complex per FL Reg 350-30 and FL 
PS 350-2, including allocation of and for recreational use.
    (2) Operate the Fort Lewis Area Access Section.
    (3) Respond to DEH coordination on timber sales and other commercial 
use of the range complex.
    (d) Law Enforcement Agency (LEC). Provide law enforcement and game 
warden patrols on the range complexes.
    (e) Director of Engineering and Housing (DEH).
    (1) Coordinate with DPTM and the appropriate Sub-Installation 
Commander on Real Estate Agreements, timber sales, wildlife management, 
construction, forest management, Installation Training Area Management 
(ITAM), and other DEH or Corps of Engineers managed actions occurring on 
the range complex
    (2) Ensure that Real Estate Agreement holders are required to notify 
Fort Lewis Area Access, YTC DPCA, or Camp Bonneville Range Control, as 
appropriate, of range complex entry.
    (f) DPCA. With DEH, manage Installation hunting, fishing, and 
trapping programs. Manage picnic and recreation sites located in the 
Fort Lewis range complex, as listed in appendix A to this part. Advise 
DPTM on private organizations requesting use of the Fort Lewis range 
complex for fundraisers.
    (g) Public Affairs Office (PAO).
    (1) Act as interface to resolve community relations issues related 
to land use.
    (2) Coordinate equipment and special assistance requests per Sec. 
552.165, and advise DPTM or the appropriate Sub-Installation Commander 
if permit requirements have been waived by the Command Group for a 
particular event or activity.
    (3) Inform DPTM or the appropriate Sub-Installation Commander of 
public response to policy execution.



Sec. 552.166  Recreational use.

    (a) Fort Lewis:
    (1) Individuals or organizations, military or civilian, desiring 
access to the Fort Lewis range complex for recreation must obtain a Fort 
Lewis Area Access permit, composed of HFL Form 652 and HFL Form 653. 
Exceptions are outlined below.
    (2) Exception 1: DoD ID card holders enroute to or using DPCA 
recreational areas listed in appendix A to this subpart need no permit 
other than the ID

[[Page 317]]

card. However, travel to and from DPCA areas is restricted to the most 
direct paved or improved two lane roads. DoD personnel participating in 
non-commercial recreational activities listed in appendix C to this 
subpart must have an Area Access permit.
    (3) Exception 2: Organizations or groups whose activity requires 
advanced commitment of a specific site or area, such as Scout Camporees, 
seasonal or one-time regional meets, and so on, must apply to the Fort 
Lewis DPTM, ATTN: Range Division, in writing. At least 30 days are 
required to process these requests. If the requested use is allowable 
and an appropriate area is available, DPTM may approve the request. 
Groups with approved land commitments will be scheduled onto the Range 
Complex using HFL 473. Actual commitments of land will not be made until 
after the Quarterly Range Scheduling Conference that covers the time 
period in question. Groups who need military equipment or other special 
support from Fort Lewis must apply in writing directly to the I Corps 
Public Affairs Office (PAO).
    (b) Yakima Training Center: Access to the Yakima Training Center 
range complex for recreation requires application in writing to the 
Commander, Yakima Training Center, Yakima WA 98901-9399. Camping is 
normally not permitted on Yakima Training Center. Exceptions may be 
granted by the Yakima Training Center Commander for special events.
    (c) Camp Bonneville: Access to the Camp Bonneville range complex for 
recreation requires a call to Range Control, telephone (206) 892-5800, 
the day before or the day of the activity. Access will be permitted if 
no military maneuver or live fire training is scheduled for the day 
requested.



Sec. 552.167  Activities.

    (a) Authorized activities are listed in appendix C to this subpart.
    (b) Prohibited activities are listed in appendix D to this subpart.



Sec. 552.168  Fort Lewis Area Access Office.

    (a) DPTM Range Division operates the Area Access Section to issue 
permits and grant non-training access to the range complex.
    (b) Area Access is located in Range Control, Building T-6127, 19th 
and Tacoma Streets, Main Post Fort Lewis. Telephone numbers are (206) 
967-4686/6277. Fax extension is 967-4520. E-mail is ``rangeflw.'' 
Business hours vary dependent on personnel fill, and are available by 
calling the above numbers.
    (c) Individuals desiring access for authorized activities must 
register in person at Area Access during business hours. Minimum age is 
18 years, except for active duty military personnel. Persons under 18 
years of age must be sponsored and accompanied by a parent or legal 
guardian. Individual registration requires:
    (1) Picture ID.
    (2) Address and telephone number.
    (3) Vehicle identification and license number, if a vehicle is to be 
brought on post.
    (4) Names and ages of minor family members who will accompany a 
sponsor or permit holder.
    (5) Liability release signature.
    (6) Certification that intended activities are on the authorized 
list and are not for profit or fund-raising. Persons who submit false 
certificates are subject to prosecution in Federal Court under Title 18, 
United States Code, Section 1001, and the provisions of Sec. 552.165 of 
this subpart.
    (d) A wallet-sized permit (HFL Form 653) and a vehicle pass (HFL 
Form 652) will be issued to each person authorized access. The permit is 
not transferable. Entry to the Fort Lewis range complex without the 
permit is prohibited.
    (e) A collective permit will be issued to an organization desiring 
to conduct a one-time group event not tied to a specific area or site, 
maximum length 3 days. The group leader must register in person at the 
Area Access Office and must be 21 years of age or older except for 
active duty military personnel.
    (1) Group registration requires the information listed for 
individual permits above for the group leader(s), plus a list of names 
of all persons in the group.

[[Page 318]]

    (2) Group permits require that all members of the group be with the 
leader throughout the event. If the group plans to separate while on 
Fort Lewis, sub-group leaders must be appointed and must obtain separate 
group permits. The group leader permit is not transferable.
    (3) Events requiring commitment of land must be processed per Sec. 
552.166.
    (f) Aside from the land commitment coordination time requirement in 
Sec. 552.166, there is no deadline for permit application. Permits for 
authorized activities that do not require commitment of land may be 
obtained on the day of the event.
    (g) Group event permits for specialized one-time activities are 
valid for the duration of the event, not to exceed 3 days. Individuals 
activities permits are valid for one year. When a permit expires, the 
holder must re-register to renew privileges, and a new permit will be 
issued.
    (h) Access hours are 30 minutes after daylight to 30 minutes before 
dark, except for authorized overnight activities and as outlined in FL 
Reg 215-1.
    (i) All permit holders must check in with Area Access, either 
telephonically or in person, no earlier than 0800 the day prior to the 
event. It is the responsibility of each permit holder to inform a friend 
or relative of the area being used, the estimated time of return, and 
the vehicle being used.
    (j) Except when land commitment has been coordinated and approved, 
Area Access will determine when called for entry whether the area 
requested is available. If the requested area is not open for permit 
holders and an alternate area cannot be provided or is not acceptable to 
the requestor, access will be denied.



Sec. 552.169  Yakima Training Center Area Access Office.

    The Yakima Training Center DPCA functions as the Area Access Officer 
(AAO).



Sec. 552.170  Camp Bonneville Area Access Office.

    Camp Bonneville Range Control (CBRC) functions as Area Access.



Sec. 552.171  Compatible use.

    (a) Military unit commanders may request during initial scheduling 
or subsequent training event coordination that no permit holders be 
allowed in areas they have scheduled for training. If this restriction 
is granted, the Installation Range Control will close appropriate areas. 
The following military activities are considered incompatible with non-
training access and automatically close affected areas:
    (1) Live-fire training events with danger zones extending into 
training areas.
    (2) Parachute and air assault operations.
    (3) Field Artillery firing. The numbered training area occupied by 
the weapons will be closed.
    (4) Training involving riot agents or smoke generating equipment.
    (b) The Installation Range Officer may also close training areas 
based on density of occupation by military units, unit size, or training 
to be conducted.
    (c) Areas allocated to modern firearm deer hunting are closed to 
both training and other recreational activities. At Fort Lewis, when 
pheasant release sites can be isolated by swamps, streams, or roads from 
the rest of a training area, multiple use of the affected training area 
(TA) is authorized.



Sec. 552.172  Violations.

    Anyone observing violators of this or other regulations must report 
the activity, time, and location to the appropriate Area Access Office 
or the Military Police (MP) as soon as possible.

Appendix A to Subpart M of Part 552--DPCA Recreational Areas in Training 
                                  Areas

    1. This listing applies to Fort Lewis only. There are no such 
facilities at Yakima Training Center or Camp Bonneville.
    2. For DoD member use only, no permit other than ID card required.
    Note: Use of specific sites is authorized only to military, retired 
military, DoD civilian personnel, their family members and accompanied 
guests.

Boat launch adjacent to Officer's Club Beach on American Lake--Beachwood 
          area
Cat Lake Picnic and Fishing Area--Training Area 19

[[Page 319]]

Chambers Lake Picnic and Fishing Area--Training Area 12 (See Para 3 
          below)
Fiander lake Picnic and Fishing Area--Training Area 20
Johnson Marsh--Training Area 10
Lewis Lake Picnic and Fishing Area--Training Area 16
No Name Lake--Training Area 22
Sequalitchew Lake Picnic Area--Training Area 2
Shannon Marsh--CTA D
Skeet Trap Range--2d Division Range Road, CTA E
Solo Point Boat Launch--North Fort, CTA A West
Sportman's Range--East Gate Road, Range 15
Wright Marsh/Lake--CTA C
Vietnam Village Marsh--Training Area 9 and 10
Spanaway Marsh--Training Area 9
Sears Pond--Beachwood Housing
Nisqually River--Training Area 18
    3. For non-DoD member use, permit required: Chambers Lake and 
Nisqually River for fishing only.
    4. The Solo Point road and the South Sanitary Fill roads are also 
open in an east-west direction only to personnel of the Weyerhaeuser 
Corporation and Lone Star Corporation, and their assigns, for business 
or recreation access to adjacent Army owned real estate.

      Appendix B to Subpart M of Part 552--Non-Permit Access Routes

    1. This listing applies only to Fort Lewis. There are no such routes 
on Yakima Training Center or Camp Bonneville.
    2. The following public easement routes may be used without permit 
or check-in: I-5.

Steilacoom-DuPont Road (ET 286163 or ET 301229).
Pacific Highway Southeast (ET 231121 to ET 249143).
Washington State Route 507 (ET 363065 to ET 428146).
Goodacre and Rice Kandle Roads (ET 386090 to ET 449076).
8th Avenue South (ET 424047 to ET 423127).
8th Avenue East (ET 439077 or ET 439128).
208th Avenue (ET 423128 to ET 431128).
Washington State Route 510 (ET 234065 to ET 246056 and ET 260048 to ET 
          272022).
Yelm Highway (ET 231058 to ET 238061).
Rainier Road Southeast (ES 167999 to ES 212943).
Military Road Southeast (ES 212943 to ES 214945).
Spurgeon Creek Road (ES 177988 to ES 178999).
Stedman Road (ES 152989 to ES 167998).
    3. The following military routes may be used without permit ot 
check-in:

Huggins Meyer Road (North Fort Road, ET 304204-ET 327215)
East Gate Road (C-5 Mock-up to 8th Ave South, ET 423097)
Roy Cut-off (Chambers Lake) Road (East Gate Road to Roy City Limits), 
          when open.
Lincoln Avenue (Old Madigan to ET 390179)
    4. The Solo Point Road is open to Weyerhauser Corporation personnel 
for business and recreation.
    5. DoD personnel and Fort Lewis contractor personnel on official 
business may use all DEH-maintained range roads and trails in the 
training areas.
    6. Range roads closed for training by barricades or road guards will 
not be used. Barricades and guards will not be by-passed.

Appendix C to Subpart M of Part 552--Authorized Activities for Maneuver 
                          Training Area Access

    1. Fort Lewis:

Military Training (FL Reg 350-30)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74, FL Reg 350-30)
    Non-DoD personnel in transit on public-access routes (appendix B) 
non-commercial recreational use:

Hunting, fishing and trapping (FL Reg 215-1)
Dog training (not allowed 1 April through 31 July in selected areas per 
          FL Reg 215-1)
Horseback riding on roads and vehicle tracks
Walking, distance running
Model airplane and rocket flying (Range Control scheduling and Notice to 
          Airmen (NOTAM) required)
Model boating
Orienteering
Sport parachuting
Organized rifle and pistol competition (Range Control scheduling 
          required)
Scout activities and weekend camporees
Observation of wildlife and vegetation
Non-commercial picking of ferns, mushrooms, blackberries, apples and 
          other vegetation
Photography
Hiking
    2. Yakima Training Center:

Military Training (FL Reg 350-31)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74)
    Non-Commercial recreational use:

Hunting, fishing and trapping (FL Reg 215-1)
Dog training
Horseback riding on roads and vehicle tracks
Walking, distance running
Model airplane and rocket flying (Range Control scheduling and Notice to 
          Airmen (NOTAM required)

[[Page 320]]

Orienteering
Sport parachuting
Organized rifle and pistol competition (Range Control scheduling 
          required)
Scout activities
Observation of wildlife and vegetation
Photography
Hiking
Camping, per Paragraph 6
    3. Camp Bonneville:

Military Training (FL Reg 350-32)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74)
    Non-Commercial recreational use:

Hunting, fishing and trapping (FL Reg 215-1)
Dog training
Horseback riding on roads and vehicle tracks
Walking, distance running
Model boating
Orienteering
Organized rifle and pistol competition (Range Control scheduling 
          required)
Scout activities and weekend camporees
Observation of wildlife and vegetation
Non-commercial picking of ferns, mushrooms, blackberries, apples and 
          other vegetation
Photography
Hiking
    Note: Permit holders for the above activities must certify that they 
are non-commercial and not for profit.

Appendix D to Subpart M of Part 552--Unauthorized Activities in Maneuver 
                             Training Areas

    1. Fort Lewis:

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding.
Off-road vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue or fragments, archaeological or cultural artifacts, or 
          geological specimens.
Vehicle speed contests.
Wood cutting or brush picking, without DEH or Corps of Engineer permit.
Commercial activities conducted for profit, including horseback riding 
          rentals or guide service, dog training for reimbursement, or 
          fund-raising events for other than non-profit organizations 
          working in the public good. Fund raisers require DEH Real 
          Estate Agreement. For-profit activities require Corps of 
          Engineer leases or permits, obtained through the DEH Real 
          Estate Office.
Overnight camping outside of DPCA sites (camping on DPCA sites is open 
          to DoD members only, per above).
Consumption of alcoholic beverages.
    2. Yakima Training Center:

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding.
Off-road vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue or fragments, archaeological or cultural artifacts.
Vehicle speed contests.
Commercial activities conducted for profit, including dog training for 
          reimbursement, or fund-raising events for other than non-
          profit organizations working in the public good. Fund raisers 
          require DEH Real Estate Agreement. For-profit activities 
          require Corps of Engineer leases or permits, obtained through 
          the DEH Real Estate Office.
Overnight camping except where specifically permitted as part of the 
          activity by the Commander, Yakima Training Center.
Consumption of alcoholic beverages.
    3. Camp Bonneville:

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding.
Off-road vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue or fragments, archaeological or cultural artifacts, or 
          geological specimens.
Vehicle speed contests.
Wood cutting or brush picking, without DEH or Corps of Engineer permit.
Commercial activities conducted for profit, including horseback riding 
          rentals or guide service, dog training for reimbursement, or 
          fund-raising events for other than non-profit organizations 
          working in the public good. Fund raisers require DEH Real 
          Estate Agreement. For-profit activities require Corps of 
          Engineer leases or permits, obtained through the DEH Real 
          Estate Office.
Overnight camping.
Consumption of alcoholic beverages.
Model airplane and rocket flying.
Sport parachuting.

             Appendix E to Subpart M of Part 552--References

    Army Regulations referenced in this subpart may be obtained from 
National Technical Information Services, U.S. Department

[[Page 321]]

of Commerce, 5285 Port Royal Road, Springfield, VA 22161.
    Fort Lewis Regulations and forms referenced in this subpart may be 
viewed at the Office of the Staff Judge Advocate General, Fort Lewis, 
Washington or at the Range Office, Headquarters, I Corps and Fort Lewis.

AR 210-1 (Private Organizations on Department of the Army 
          Installations), with Fort Lewis Supplement 1
AR 405-70 (Utilization of Real Estate)
AR 405-80 (Granting Use of Real Estate)
AR 420-74 (Natural Resources--Land, Forest, and Wildlife Management)
FL Reg 190-11 (Physical Security of Arms, Ammunition, and Explosives)
FL Reg 210-1 (Fort Lewis Post Regulations)
FL Reg 215-1 (Hunting, Fishing, and Trapping)
FL Reg 250-30 (I Corps and Fort Lewis Range Regulations)
FL Reg 350-31 (Yakima Training Center Range Regulations)
FL Reg 350-32 (Camp Bonneville Range Regulations)
FL Policy Statement 350-2 (Training Resource Scheduling)
HFL Form 473 (Training Resource Request)
HFL Form 652 (Range Control Vehicle Permit)
HFL Form 653 (Range Control Area Access Card)

           Appendix F to Subpart M of Part 552--Abbreviations

AAO Area Access Officer
AR Army Regulation
CBRC Camp Bonneville Range Control
DEH Director of Engineering and Housing
DPCA Director of Personnel and Community Activities
DPTM Director of Plans, Training and Mobilization
FL Fort Lewis
ITAM Installation Training Area Management
LEC Law Enforcement Command
LOI Letter of Intent
MP Military Police
PAO Public Affairs Office
TA Training Area
SJA Staff Judge Advocate
UCMJ Uniform Code of Military Justice
YTC Yakima Training Center



Subpart N_Operation and Use of Fort Monroe, Virginia, Fishing Facilities

    Authority: 10 U.S.C. Chapter 27; 16 U.S.C. 470, 1531-1543; 18 U.S.C. 
1382; 50 U.S.C. 797.

    Source: 59 FR 45212, Sept. 1, 1994, unless otherwise noted.



Sec. 552.180  Purpose.

    This subpart prescribes policies and procedures for the operation 
and use of fishing facilities located at Fort Monroe, Virginia.



Sec. 552.181  Applicability.

    This subpart applies to all personnel to include military and 
civilian personnel assigned to Fort Monroe, residents and visitors to 
the State of Virginia who utilize the fishing facilities located at Fort 
Monroe.



Sec. 552.182  References.

    Publications referenced in this section may be reviewed in the 
Office, Directorate of Community and Family Activities, Fort Monroe, 
Virginia.
    (a) AR 215-1, Administration of Army Morale, Welfare, and Recreation 
activities and Non appropriated Fund Instrumentalities, February 20, 
1984.
    (b) Fort Monroe Vehicle Code.
    (c) Codes of Virginia S 28.1-48(c), S 28.1-174, 28.1-187, and S 
28.2-302.1-9.
    (d) Virginia Marine Resources Commission (VMRC) regulations.
    (e) Department of Defense (DD) Form 1805, United States District 
Court Violation Notice.
    (f) Fort Monroe Fishing Map (appendix A to this subpart).



Sec. 552.183  Responsibilities.

    (a) Director of Community and Family Activities (DCFA) is 
responsible for the overall operation of the installation fishing 
program.
    (b) Directorate of Installation Support is responsible for--
    (1) Trash and debris disposal.
    (2) Real property facility maintenance and repair.
    (3) Periodic hosing of all piers, as required.
    (c) The Directorate of the Provost Marshal (DPM) will--
    (1) Enforce this subpart and all other policies imposed by the Fort 
Monroe Installation Commander and state and federal fishing regulations.
    (2) Open and close fishing areas in accordance with this subpart. 
Seasonal safety factors and ongoing ceremonies will, at times, delay 
opening of fishing areas.
    (3) Issue DD Form 1805 for violations, as appropriate.

[[Page 322]]



Sec. 552.184  Policy.

    (a) Fort Monroe fishing facilities are available for use by 
authorized personnel on a daily basis.
    (b) Direct requests for information and/or assistance to the Outdoor 
Recreation Office at commercial (804) 727-4305 or (804) 727-2384.
    (c) Personal equipment restrictions on all piers located on Fort 
Monroe are as follows:
    (1) Two fishing rods per person, 18 years of age and older; one 
fishing rod per person, under 18 years of age.
    (2) Dip nets with handles exceeding 4 feet in length are prohibited 
on all piers at Fort Monroe.
    (3) Personnel using cast nets to catch food fish must have a current 
state cast net license in their possession.
    (4) Personnel are authorized to take or catch crabs with one crab 
trap or crab pot per person from Fort Monroe piers.
    (d) Saltwater fishing licenses. Persons ages 16 through 64, fishing 
with a rod and reel, or any other fishing device, in Virginia's portion 
of the Chesapeake Bay or in saltwater or tidal tributaries require a 
saltwater fishing license. Refer to the 1994 Virginia Freshwater and 
Saltwater Fishing Regulations booklet for exemptions and fee 
information. This booklet is available at the Outdoor Recreation Office, 
Building 165, Fort Monroe.
    (e) In accordance with Codes of Virginia S 28.1-174 and S 28.1-165, 
persons without a license to take crabs will be permitted to take or 
catch 1 bushel of hard-shell crabs and 2 dozen peeler crabs per day, per 
household. A first violation of any regulation under the Code of 
Virginia in regards to fishing, crabbing, etc., is a Class 3 
misdemeanor; second or subsequent violations of these provisions is a 
Class 1 misdemeanor in accordance with S 28.2-903, Code of Virginia.
    (f) All patrons are responsible for the conduct of their family 
members and guests. They are also responsible for the proper disposal of 
all personal refuse into the proper receptacles. Refuse such as seaweed, 
leftover bait, unwanted fish, crabs, etc., will NOT be left on piers or 
placed in trash receptacles. All refuse of this type will be thrown 
overboard. However, it is illegal and a violation of existing law to 
throw fishing line, paper, plastic materials, and other debris into the 
water. Doing so may lead to a fine or imprisonment, or both. All man-
made materials will be deposited in proper trash receptacles or 
recycled.
    (g) Cleaning of fish is not allowed on Fort Monroe piers and 
seawalls.
    (h) Littering (to include leaving seaweed, bait, or fish on piers) 
is prohibited. Failure to comply with established policies may result in 
the loss of installation fishing privileges.
    (i) Children under 12 years of age must be accompanied by a 
responsible adult at all Fort Monroe fishing piers.
    (j) The moat is off limits to fishing.
    (k) The Fort Monroe fishing map at appendix A to this subpart, 
visually outlines all areas authorized for each category of user. Copies 
of this map are available at the Outdoor Recreation Office, Building 
165.
    (l) In accordance with the Directorate of Provost Marshal, police 
officers from the Virginia Marine Resources Commission (VMRC) will 
enforce VMRC fishing regulations at Fort Monroe fishing areas.



Sec. 552.185  Eligibility.

    The following personnel are authorized to fish on Fort Monroe:
    (a) Active duty and retired military personnel, their family 
members, and Department of Defense civilian employees, as specified on 
the fishing map at appendix A to this subpart.
    (b) All other personnel, as specified on the fishing map at appendix 
A to this subpart.

Subpart O [Reserved]



 Subpart P_Protests, Picketing, and Other Similar Demonstrations on the 
            Installation of Aberdeen Proving Ground, Maryland

    Authority: 18 U.S.C. Sec. 1382.

    Source: 62 FR 33998, June 24, 1997, unless otherwise noted.

[[Page 323]]



Sec. 552.211  Purpose.

    This subpart establishes policies, responsibilities, and procedures 
for protests, pickeing, and other similar demonstrations on the Aberdeen 
Proving Ground installation.



Sec. 552.212  Scope.

    (a) The provisions of this subpart apply to all elements of U.S. 
Army Garrison, Aberdeen Proving Ground (USAGAPG), and the supported 
organizations and activities on the Aberdeen and Edgewood Areas of 
Aberdeen Proving Ground.
    (b) The provisions of this subpart cover all public displays of 
opinions made by protesting, picketing, or any other similar 
demonstration.
    (c) The provisions of this subpart are applicable to all people, 
military and civilian employees, and all visitors, family members, or 
others, entering, upon or present at Aberdeen Proving Ground.



Sec. 552.213  Policy.

    (a) Aberdeen Proving Ground is a non-public forum and is open for 
expensive activity only under certain circumstances. Aberdeen Proving 
Ground is a military installation under the exclusive federal 
jurisdiction at which official business of the federal government is 
conducted, including military training, testing of weapon systems and 
other military equipment, and other official business.
    (b) On Aberdeen Proving Ground, except for activities authorized 
under 5 United States Code Chapter 71, Labor Management Relations, it is 
unlawful for any person to engage in any public displays of opinions 
made by protesting, picketing or any other similar demonstration without 
the approval of the Commander, U.S. Army Garrison, Aberdeen Proving 
Ground. Therefore, unless prior approval has been obtained as outlined 
below in 32 CFR 552.214, it will be unlawful for any person on Aberdeen 
Proving Ground to:
    (1) Engage in protests, public speeches, marches, sit-ins, or 
demonstrations promoting a point of view.
    (2) Interrupt or disturb the testing and evaluating of weapon 
systems, or any training, formation, ceremony, class, court-martial, 
hearing, or other military business.
    (3) Obstruct movement on any street, road, sidewalk, pathway, or 
other vehicle or pedestrian thoroughfare.
    (4) Utter to any person abusive, insulting, profane, indecent, or 
otherwise provocative language that by its very utterance tends to 
excite a breach of the peace.
    (5) Distribute or post publications, including pamphlets, 
newspapers, magazines, handbills, flyers, leaflets, and other printed 
materials, except through regularly established and approved 
distribution outlets and places.
    (6) Circulate petitions or engage in picketing or similar 
demonstrations for any purpose.
    (7) Engage in partisan political campaigning or electioneering.
    (8) Disobey a request from Department of Defense police, other 
government law enforcement officials (e.g., Federal, State, or local law 
enforcement officials), military police, or other competent authority to 
disperse, move along or leave the installation.
    (c) In appropriate cases, the Commander, U.S. Army Garrison, 
Aberdeen Proving Ground may give express written permission for 
protests, picketing, or any other similar demonstrations on Aberdeen 
Proving Ground property outside the gates adjacent to the installation 
borders, only if the procedures outlined below in 32 CFR 552.214 are 
followed.



Sec. 552.214  Procedures.

    (a) Any person or persons desiring to protest, picket, or engage in 
any other similar demonstrations on Aberdeen Proving Ground must submit 
a written request to the Commander, U.S. Army Garrison, Aberdeen Proving 
Ground, ATTN: STEAP-CO, 2201 Aberdeen Boulevard, Aberdeen Proving 
Ground, Maryland 21005-5001. The request must be received at least 30 
calendar days prior to the demonstration, and it must include the 
following:
    (1) Name, address, and telephone number of the sponsoring person or 
organization. (If it is an organization, include the name of the point 
of contact.)
    (2) Purpose of the event.
    (3) Number of personnel expected to attend.

[[Page 324]]

    (4) Proposed date, time, location and duration of the event.
    (5) Proposed means of transportation to and from APG.
    (6) Proposed means of providing security, sanitary services and 
related ancillary services to the participants.
    (b) Based on the Commander's concerns for discipline, mission 
accomplishment, protection of property, and the safeguarding of the 
health, morale, and welfare of the APG community, the Commander will 
determine whether to grant the request and, if granted, any limitations 
as to where and when it will take place.



Sec. 552.215  Responsibilities.

    (a) Director, Law Enforcement and Security, U.S. Army Garrison, 
Aberdeen Proving Ground, will furnish police support as needed.
    (b) Chief Counsel and Staff Judge Advocate, U.S. Army Test and 
Evaluation Command, will provide a legal review of the request.



Sec. 552.216  Violations.

    (a) A person is in violation of the terms of this subpart if:
    (1) That person enters or remains upon Aberdeen Proving Ground when 
that person is not licensed, invited, or otherwise authorized by the 
Commander, U.S. Army Garrison, Aberdeen Proving Ground pursuant to the 
terms of Sec. 552.214; or
    (2) That person enters upon or remains upon Aberdeen Proving Ground 
for the purpose of engaging in any activity prohibited or limited by 
this subpart.
    (b) All persons (military personnel, Department of the Army civilian 
employees, civilians, and others) may be prosecuted for violating the 
provisions of this subpart. Military personnel may be prosecuted under 
the Uniform Code of Military Justice. Department of the Army civilian 
employees may be prosecuted under 18 U.S.C. 1382, and/or disciplined 
under appropriate regulations. Civilians and others may be prosecuted 
under 18 U.S.C. 1382.
    (c) Administrative sanctions may include, but are not limited to, 
bar actions including suspension of access privileges, or permanent 
exclusion from Aberdeen Proving Ground.

    Appendix A to Part 552--DPCA Recreational Areas in Training Areas

    1. DOD use only, permit not required:

    Note. Use is authorized only to military, retired military, DOD 
civilian personnel, their family members and accompanied guests.

Boat launch adjacent to Officer's Club Beach on American Lake/Beachwood 
          area
Cat Lake Picnic and Fishing Area--Training Area 19
Chambers Lake Picnic and *Fishing Area--Training Area 12 (See para 2 
          below)
Ecology Park Hiking Path--North Fort, CTA A West
Fiander Lake Picnic and Fishing Area--Training Area 20
Johnson Marsh--Training Area 10
Lewis Lake Picnic and Fishing Area--Training Area 16
Miller Hill Trail Bike Area (DOD only)--Main Post
No Name Lake--Training Area 22
Sequalitchew Lake Picnic Area--Training Area 2
Shannon Marsh--CTA D
Skeet Trap Range--2d Division Range Road, CTA E
Solo Point Boat Launch--North Fort, CTA A West
Sportman's Range--East Gate Road, Range 15
Wright Marsh/Lake--CTA C
Vietnam Village Marsh--Training Area 9 and 10
    2. Non-DOD use, permit required: Chambers Lake, fishing only.

            Appendix B to Part 552--Non-Permit Access Routes

    1. The following public easement routes may be used without permit 
or check-in:
I-5
Steilacoom-DuPont Road (EH 286156 to EH 302227).
Pacific Highway Southeast (EH 232119 to EH 250141).
Washington State Route 507 (EH 363061 to EH 429144).
Goodacre (unpaved) and Rice Kandle (paved) Roads (EH 386088 to EH 
          450074).
8th Avenue South (EH 424045 to EH 424126).
8th Avenue East (EH 440074 to EH 440126).
208th Avenue (EH 424126 to EH 432126).
Washington State Route 510 (EH 235063 to EH 247054 and EH 261046 to EH 
          273020).
Yelm Highway (EH 233056 to EH 239058).
Rainer Road Southeast (EG 167997 to EG 213941).
Military Road Southeast (EG 213941 to EG 215944).
Spurgeon Creek Road (EG 178986 to EG 179997).

[[Page 325]]

Stedman Road (EG 153987 to EG 167995).
    2. The following military routes may be used without permit or 
check-in:
Huggins Meyer Road (North Fort Road, EH 305202-EH 328213)
East Gate Road (C-5 Mock-up to 8th Ave South--EH 328213)
260th (EH 440074 to EH 457074)
Roy cut-off (Chambers Lake) Road (East Gate Road to Roy City Limits)
Lincoln Avenue (Madigan to EH 391179)
    3. The Solo Point Road is open to Weyerhauser Corporation personnel 
for business and recreation.
    4. DOD personnel and Fort Lewis contractor personnel on official 
business may use all DEH-maintained paved roads and two lane gravel 
roads in the training areas. The use of one lane gravel lanes, or any 
established road not identified above, must be coordinated with the Area 
Access Office prior to use except as specified in Sec. 552.87(b)(2)
    5. All range roads closed because of training activities will not be 
used until opened by the Range Officer. Such road closures will normally 
involve barricades and road guards. Barricades and road guards placed by 
direction of Range Control may not be by-passed.

 Appendix C to Part 552--Authorized Activities for Fort Lewis Maneuver 
                               Area Access

Military Training (FL Reg 350-30)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74, FL Reg 350-30)
Non-DOD personnel in transit on public-access route only (appendix B)
Non-Commercial recreational use:
    Hunting, fishing and trapping (FL Reg 215-1)
    Dog training (not allowed 1 April through 31 July in selected areas)
    Horseback riding on roads and vehicle tracks
    Walking, distance running
    Model airplane and rocket flying
    Model boating
    Orienteering
    Sport parachuting
    Organized rifle and pistol competition
    Service group camping and activities (Boy Scouts, etc.)
    Observation of wildlife and vegetation
    Non-Commercial picking of ferns, mushrooms, blackberries, apples and 
other miscellaneous vegetation
    Photography
    Hiking
    Historical Trails

 Appendix D to Part 552--Unauthorized Activities in Fort Lewis Maneuver 
                                  Areas

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding, except as noted in appendix A Off-road 
          vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue of fragments, archaeological or cultural artifacts, or 
          geological specimens.
Vehicle speed contests.
Wood cutting or brush picking, without DEH or Crops of Engineer permit.
Commercial activities conducted for profit that require a Real Estate 
          Agreement or commercial permit per AR 405-80, including 
          horseback riding rentals or guide service, and dog training 
          for reimbursement.



PART 553_ARMY NATIONAL CEMETERIES--Table of Contents




Sec.
553.1 Purpose.
553.2 Statutory authority.
553.3 Scope and applicability.
553.4 Responsibilities.
553.5 Federal jurisdiction.
553.6 Donations.
553.7 Design and layout of Army national cemeteries.
553.8 Arlington Memorial Amphitheater.
553.9 Power of arrest.
553.10 Solicitations.
553.11 Procurement.
553.12 Encroachments and revocable licenses.
553.13 Standards of construction, maintenance, and operations.
553.14 Authority for interments.
553.15 Persons eligible for burial in Arlington National Cemetery.
553.15a Persons eligible for inurnment of cremated remains in 
          Columbarium in Arlington National Cemetery.
553.16 Persons eligible for burial in Soldiers' Home National Cemetery.
553.17 Persons ineligible for burial in an Army national cemetery.
553.18 Assignment of gravesites.
553.19 Disinterments.
553.20 Headstones and markers.
553.21 Monuments and inscriptions at private expense.
553.22 Visitors' rules for the Arlington National Cemetery.

Appendix A to Part 553--Specifications For Tributes in Arlington 
          National Cemetery


[[Page 326]]


    Authority: 24 U.S.C. Ch. 7.

    Source: 42 FR 25725, May 19, 1977, unless otherwise noted.



Sec. 553.1  Purpose.

    The following specifies the authority and assigns the 
responsibilities for the development, operation, maintenance, and 
administration of the Arlington and Soldiers' Home National Cemeteries, 
a civil works activity of the Department of the Army.



Sec. 553.2  Statutory authority.

    Basic statutory authority pertaining to the Army national cemeteries 
is in chapter 7, title 24, United States Code, entitled ``National 
Cemeteries.'' Many of the provisions of this chapter were repealed by 
section 7(a) of the National Cemeteries Act of 1973 (Pub. L. 93-43, 18 
June 1973, 38 U.S.C. 1000 et seq.); but section 7(b) provides that 
nothing in this section shall be deemed to affect in any manner the 
functions, powers, and duties of the Secretary of the Army with respect 
to Arlington and Soldiers' Home National Cemeteries.



Sec. 553.3  Scope and applicability.

    (a) Scope. The development, operation, maintenance, and 
administration of Arlington National Cemetery and the Soldiers' Home 
National Cemetery are governed by this part and TM 10-287. AR 210-190 
assigns responsibilities for the operation, maintenance, and 
administration of Army post cemeteries.
    (b) Applicability. The provisions of AR 290-5 are applicable to 
active and retired members of the Armed Forces, certain disabled 
veterans, and veterans who were awarded certain military decorations.



Sec. 553.4  Responsibilities.

    The Army national cemeteries, consisting of the Arlington National 
Cemetery, Arlington, Virginia, and Soldiers' Home National Cemetery, 
Washington, DC, are under the jurisdiction of the Department of the 
Army. The Assistant Secretary of the Army for Civil Works is directly 
responsible to the Secretary of the Army for policy formulation in the 
administration of these cemeteries. The Adjutant General is responsible 
for their day-to-day administration, operation, and maintenance. 
Specific responsibilities for Arlington and Soldiers' Home National 
Cemeteries are delegated to the Commander, Military District of 
Washington in accordance with a Memorandum of Understanding.



Sec. 553.5  Federal jurisdiction.

    Where the State legislature has given the consent of that State to 
purchase the land which now comprises an Army national cemetery, the 
jurisdiction and power of legislation of the United States over Army 
national cemeteries will, in all courts and places, be held to be the 
same as is granted by Section 8, Article 1, Constitution of the United 
States.



Sec. 553.6  Donations.

    (a) Policy. Under Department of the Army policy, proffered donations 
or gifts for beautifying Army national cemeteries may be accepted from 
legitimate societies and organizations or from reputable individuals, 
subject to the following provisions:
    (1) The society, organization, or individual does not associate the 
name of the Department of the Army in any way with soliciting for the 
donation or gift.
    (2) Delivery is made to the cemetery or to another point designated 
by the Department of the Army without expense to the Government.
    (3) Installing, constructing, placing, or planting is in keeping 
with the planned development of the cemetery and the donor agrees to the 
use of the gift at any designated place within the cemetery.
    (4) The donor is not permitted to affix any commemorative tablet or 
plaque to the items donated or to place one in the cemetery or elsewhere 
on Department of the Army property.
    (b) Processing. All proffers of donations to Army national 
cemeteries will be referred to The Adjutant General with the 
recommendation of the cemetery superintendent as to the action to be 
taken.
    (c) Conditional gifts. The Secretary of the Army is authorized, at 
his discretion, to accept, receive, hold, administer, and expend any 
gift, devise, or bequest of real or personal property on

[[Page 327]]

condition that the item be used for the benefit of, or in connection 
with, the operation maintenance, or administration of the two national 
cemeteries under the jurisdiction of the Department of the Army. The 
Adjutant General will take appropriate action on conditional gifts as 
prescribed in AR 1-100.
    (d) Unconditional gifts. All proffers or donations of gifts which 
are unconditional will be accompanied by a report stating all material 
facts in connection with the source, nature, and purpose of the gift.



Sec. 553.7  Design and layout of Army national cemeteries.

    (a) General cemetery layout plans, landscape planting plans and 
gravesite layout plans for Army national cemeteries will be maintained 
by The Adjutant General.
    (b) New burial sections will be opened and prepared for burials only 
with the approval of The Adjutant General and after types and sizes of 
monuments on permanent sites have been established.



Sec. 553.8  Arlington Memorial Amphitheater.

    (a) The Act of 2 September 1960 (74 Stat; 24 U.S.C. 295a) provides 
that the Secretary of Defense or his designee may send to Congress or 
his designee may send to Congress in January of each year 
recommendations on the memorials to be erected and the remains of 
deceased members of the Armed Forces to be entombed in the Arlington 
Memorial Amphitheater in Arlington National Cemetery. The Act further 
provides that--
    (1) No memorial may be erected and no remains may be entombed in the 
Arlington Memorial Amphitheater unless specifically authorized by 
Congress;
    (2) The character, design, or location of any memorial authorized by 
Congress is subject to the approval of the Secretary of Defense or of 
his designee.
    (b) Under the provisions of the Act of 2 September 1960, the 
Secretary of the Army has been designated to act in behalf of the 
Secretary of Defense.
    (c) The Department of the Army will seek the advice of the 
Commission of Fine Arts concerning any requests relative to inscriptions 
or memorials within the Arlington Memorial Amphitheater.



Sec. 553.9  Power of arrest.

    The superintendents of Army national cemeteries are authorized to 
arrest any person who willfully destroys, cuts, breaks, injures, or 
removes any tree, shrub, or plant within the limits of the cemetery and 
to bring that person before any United States magistrate or judge of any 
district court of the United States within any State or district where 
the cemeteries are situated, to hold that person to answer for the 
misdemeanor, and then and there to make a complaint in due form.



Sec. 553.10  Solicitations.

    Solicitations to the public of any type of business including the 
sale of souvenirs and refreshments within the cemetery are prohibited. 
Violators who do not leave when so ordered or who unlawfully reenter the 
cemetery after being evicted will be subject to prosecution.



Sec. 553.11  Procurement.

    Cemetery supplies and services will be procured in accordance with 
the provisions of the Armed Services Procurement Regulation (ASPR) and 
the Army Procurement Procedure (APP).



Sec. 553.12  Encroachments and revocable licenses.

    (a) Encroachments. No railroads will be permitted upon the right-of-
way acquired by the United States leading to Arlington or Soldiers' Home 
National Cemetery or to encroach upon any roads or walks thereon and 
maintained by the United States.
    (b) Revocable licenses. The construction or erection of poles and 
lines (including underground lines) for transmitting and distributing 
electric power or for telephone and telegraph purposes, as well as water 
and sewer pipes, will not be permitted without the authority of the 
Department of the Army. Requests for revocable licenses to construct 
water, gas, or sewer lines or other appurtenances on or across the 
cemetery or an approach road in which the Government has a right-of-way 
or fee simple title or other interest will be submitted for final action 
to

[[Page 328]]

the cemetery superintendent with a complete description of the privilege 
desired and a map showing the location of the project on the roadway in 
question. The superintendent will forward the application and inclosures 
with his comments and recommendation to Headquarters, Department of the 
Army.



Sec. 553.13  Standards of construction, maintenance, and operations.

    The following standards of the Department of the Army will be 
observed in the development, operation, maintenance, administration, and 
support of Army national cemetries and will be considered in relation to 
budgetary reviews within the Department of the Army:
    (a) As permanent national shrines provided by a grateful nation to 
the honored dead of the Armed Forces of the United States, the standards 
for construction, maintenance, and operation of Army national cemeteries 
will be commensurate with the high purpose to which they are dedicated.
    (b) Structures and facilities provided for Army cemetaries will be 
permanent in nature and of a scope, dignity, and aesthetic design 
suitable to the purpose for which they are intended.
    (c) Cemeteries will be beautified by landscaping and by means of 
special features based on the historical aspects, location, or other 
factors of major significance.
    (d) Accomodations and services provided to the next of kin of the 
honored dead and to the general public will be of high order.



Sec. 553.14  Authority for interments.

    The Act of 14 May 1948 (62 Stat. 234), as amended by the Act of 14 
September 1959 (73 Stat. 547; 24 U.S.C. 281), and other laws 
specifically cited in this part authorize burial in Arlington and 
Soldiers' Home National Cemeteries under such regulations as the 
Secretary of the Army may, with the approval of the Secretary of 
Defense, prescribe.



Sec. 553.15  Persons eligible for burial in Arlington National Cemetery.

    (a) Any active duty member of the Armed Forces (except those members 
serving on active duty for training only).
    (b) Any retired member of the Armed Forces. A retired member of the 
Armed Forces, in the context of this paragraph, is a retired member of 
the Army, Navy, Air Force, Marine Corps, Coast Guard, or a Reserve 
component who has served on active duty (other than for training), is 
carried on an official retired list, and is entitled to receive retired 
pay stemming from service in the Armed Forces. If, at the time of death, 
a retired member of the Armed Forces is not entitled to receive retired 
pay stemming from his service in the Armed Forces until some future 
date, the retired member will not be eligible for burial.
    (c) Any former member of the Armed Forces separated for physical 
disability prior to 1 October 1949 who has served on active duty (other 
than for training) and who would have been eligible for retirement under 
the provisions of 10 U.S.C. 1201 had that statute been in effect on the 
date of his separation.
    (d) Any former member of the Armed Forces whose last active duty 
(other than for training) military service terminated honorably and who 
has been awarded one of the following decorations:
    (1) Medal of Honor.
    (2) Distinguished Service Cross (Air Force Cross or Navy Cross).
    (3) Distinguished Service Medal.
    (4) Silver Star.
    (5) Purple Heart.
    (e) Persons who have held any of the following positions, provided 
their last period of active duty (other than for training) as a member 
of the Armed Forces terminated honorably:
    (1) An elective office of the United States Government.
    (2) Office of the Chief Justice of the United States or of an 
Associate Justice of the Supreme Court of the United States.
    (3) An office listed in 5 U.S.C. 5312 or 5 U.S.C. 5313.
    (4) The Chief of a mission who was at any time during his tenure 
classified in class I under the provisions of 411 of the Act of 13 
August 1946, 60 Stat. 1002, as amended (22 U.S.C. 866, 1964 ed.).

[[Page 329]]

    (f) Any former prisoner of war who, while a prisoner of war, served 
honorably in the active military, naval, or air service, whose last 
period of active military, naval, or air service terminated honorably 
and who died on or after November 30, 1993.
    (1) The term ``former prisoner of war'' means a person who, while 
serving in the active military, naval, or air service, was forcibly 
detained or interned in line of duty--
    (i) By an enemy government or its agents, or a hostile force, during 
a period of war; or
    (ii) By a foreign government or its agents, or a hostile force, 
under circumstances which the Secretary of Veterans Affairs finds to 
have been comparable to the circumstances under which persons have 
generally been forcibly detained or interned by enemy governments during 
periods of war.
    (2) The term ``active military, naval, or air service'' includes 
active duty, any period of active duty for training during which the 
individual concerned was disabled or died from a disease or injury 
incurred or aggravated in line of duty, and any period of inactive duty 
training during which the individual concerned was disabled or died from 
an injury incurred or aggravated in line of duty.
    (g) The spouse, widow or widower, minor child and, at the discretion 
of the Secretary of the Army, unmarried adult child of any of the 
persons listed above.
    (1) The term ``spouse'' refers to a widow or widower of an eligible 
member, including the widow or widower of a member of the Armed Forces 
who was lost or buried at sea or officially determined to be permanently 
absent in a status of missing or missing in action. A surviving spouse 
who has remarried and whose remarriage is void, terminated by death, or 
dissolved by annulment or divorce by a court with basic authority to 
render such decrees regains eligibility for burial in Arlington National 
Cemetery unless it is determined that the decree of annulment or divorce 
was secured through fraud or collusion.
    (2) An unmarried adult child may be interred in the same grave in 
which the parent has been or will be interred, provided that child was 
incapable of self-support up to the time of death because of physical or 
mental condition. At the time of death of an adult child, a request for 
interment will be submitted to the Superintendent of Arlington National 
Cemetery. The request must be accompanied by a notarized statement from 
an individual who has direct knowledge as to the marital status, degree 
of dependency of the deceased child, the name of that child's parent, 
and the military service upon which the burial is being requested. A 
certificate of a physician who has attended the decedent as to the 
nature and duration of the physical and/or mental disability must also 
accompany the request for interment.
    (h) Widows or widowers of service members who are interred in 
Arlington National Cemetery as part of a group burial may be interred in 
the same cemetery but not in the same grave.
    (i) The surviving spouse, minor child, and, at the discretion of the 
Secretary of the Army, unmarried adult child of any person already 
buried in Arlington.
    (j) The parents of a minor child or unmarried adult child whose 
remains, based on the eligibility of a parent, are already buried in 
Arlington National Cemetery.

[42 FR 25725, May 19, 1977, as amended at 59 FR 60559, Nov. 25, 1994]



Sec. 553.15a  Persons eligible for inurnment of cremated remains in 
Columbarium in Arlington National Cemetery.

    (a) Any member of the Armed Forces who dies on active duty.
    (b) Any former member of the Armed Forces who served on active duty 
(other than for training) and whose last service terminated honorably.
    (c) Any member of a Reserve component of the Armed Forces, and any 
member of the Army National Guard or the Air National Guard, whose death 
occurs under honorable conditions while he is on active duty for 
training or performing full-time service; performing authorized travel 
to or from that duty or service; or is on authorized inactive duty 
training including training performed as a member of the Army National 
Guard or the Air National Guard. Also included are those

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members whose deaths occur while hospitalized or undergoing treatment at 
the expense of the United States for injury or disease contracted or 
incurred under honorable conditions while on that duty or service or 
performing that travel or inactive duty training.
    (d) Any member of the Reserve Officers' Training Corps of the Army, 
Navy, or Air Force whose death occurs under honorable conditions while 
attending an authorized training camp or on an authorized practice 
cruise, performing authorized travel to or from that camp or cruise, or 
hospitalized or undergoing treatment at the expense of the United States 
for injury or disease contracted or incurred under honorable conditions 
while attending that camp or cruise, performing that travel, or 
undergoing that hospitalization or treatment at the expense of the 
United States.
    (e) Any former prisoner of war who, while a prisoner of war, served 
honorably in the active military, naval, or air service, whose last 
period of active military, naval, or air service terminated honorably 
and who died on or after November 30, 1993.
    (1) The term ``former prisoner of war'' means a person who, while 
serving in the active military, naval, or air service, was forcibly 
detained or interned in line of duty--
    (i) By an enemy government or its agents, or a hostile force, during 
a period of war; or
    (ii) By a foreign government or its agents, or a hostile force, 
under circumstances which the Secretary of Veterans Affairs finds to 
have been comparable to the circumstances under which persons have 
generally been forcibly detained or interned by enemy governments during 
periods of war.
    (2) The term ``active military, naval, or air service'' includes 
active duty, any period of active duty for training during which the 
individual concerned was disabled or died from a disease or injury 
incurred or aggravated in line of duty, and any period of inactive duty 
training during which the individual concerned was disabled or died from 
an injury incurred or aggravated in line of duty.
    (f) Any citizen of the United States who, during any war in which 
the United States has been or may hereafter be engaged, served in the 
Armed Forces of any government allied with the United States during that 
war, whose last active service terminated honorably by death or 
otherwise, and who was a citizen of the United States at the time of 
entry on such service and at the time of death.
    (g) Commissioned officers, United States Coast and Geodetic Survey 
(now National Oceanic and Atmospheric Administration) who die during or 
subsequent to the service specified in the following categories and 
whose last service terminated honorably:
    (1) Assignment to areas of immediate military hazard.
    (2) Served in the Philippine Islands on December 7, 1941.
    (3) Transferred to the Department of the Army or the Department of 
the Navy under certain statutes.
    (h) Any commissioned officer of the United States Public Health 
Service who served on full-time duty on or after July 29, 1945, if the 
service falls within the meaning of active duty for training as defined 
in 38 U.S.C. 101(22) or inactive duty training as defined in 38 U.S.C. 
101(23) and whose death resulted from a disease or injury incurred or 
aggravated in line of duty. Also, any commissioned officer of the 
Regular or Reserve Corps of the Public Health Service who performed 
active service prior to July 29, 1945 in time of war; on detail for duty 
with the Armed Forces; or while the service was part of the military 
forces of the United States pursuant to Executive order of the 
President.
    (i) Spouses, minor children, and dependent adult children of the 
persons listed above.

(24 U.S.C. 281)

[43 FR 35043, Aug. 8, 1978, as amended at 59 FR 60559, Nov. 25, 1994; 60 
FR 8305, Feb. 14, 1995]



Sec. 553.16  Persons eligible for burial in Soldiers' Home National 
Cemetery.

    The Board of Commissioners of the US Soldiers' and Airmen's Home 
will prescribe rules governing burial in the Soldiers' Home National 
Cemetery.

[[Page 331]]



Sec. 553.17  Persons ineligible for burial in an Army national cemetery.

    (a) A father, mother, brother, sister, and in-law is not eligible 
for interment by reason of relationship to an eligible service person 
even though he/she is dependent upon the service member for support and/
or is a member of his/her household.
    (b) A person whose last separation from one of the Armed Forces was 
under other-than-honorable conditions is not eligible for burial even 
though he may have received veterans benefits, treatment at a Veterans 
Administration hospital or died in such a hospital.
    (c) A person who has volunteered for service with the Armed Forces 
but has not actually entered on active duty.
    (d) Nonservice-connected spouses who have been divorced from the 
service-connected members or who have remarried after the interment of 
the service-connected spouse and whose remarriage is still valid are not 
eligible because of the decedent's service.
    (e) Dependents are not eligible for burial in Arlington National 
Cemetery unless the Service-connected family member has been or will be 
interred in that cemetery. This does not apply to widows or widowers of 
members of the Armed Forces lost or buried at sea or officially 
determined to be permanently absent in a status of missing or missing in 
action.



Sec. 553.18  Assignment of gravesites.

    (a) Under present policy of the Department of the Army, only one 
gravesite is authorized for the burial of a service member and eligible 
family members.
    (b) Gravesites will not be reserved.
    (c) Gravesite reservations made in writing before the one-gravesite-
per-family unit policy was established will remain in effect as long as 
the reservee remains eligible for burial in Arlington.



Sec. 553.19  Disinterments.

    (a) Interments in Arlington National Cemetery of eligible decedents 
are considered permanent and final, and disinterments will be permitted 
only for cogent reasons. Disinterments and removal of remains will be 
approved only when all living close relatives of the decedent give their 
written consent or when a court order directs the disinterment.
    (b) All requests for authority to disinter remains will include the 
following information:
    (1) A full statement of reasons for the proposed disinterment.
    (2) Notarized statements by all close living relatives of the 
decedent that they interpose no objection to the proposed disinterment. 
``Close relatives'' are widow or widower, parents, adult brothers and 
sisters, and adult childern of the decedent and will include the person 
who directed the initial interment, if living, even though the legal 
relationship of that person to the decedent may have changed.
    (3) A sworn statement by a person who knows that those who supplied 
affidavits comprise all the living close relatives of the deceased, 
including the person who directed the initial interment.
    (c) In lieu of the documents required, an order of a court of 
competent jurisdiction will be recognized. The Department of the Army or 
officials of the cemetery should not be made a party or parties to the 
court action since this is a matter that concerns the family members 
involved.
    (d) Any disinterment that may be authorized under this paragraph 
must be accomplished without expense to the Government.



Sec. 553.20  Headstones and markers.

    All graves in Army national cemeteries will be appropriately marked 
in accordance with 24 U.S.C. 279. Government headstones and markers are 
provided by the Veterans Administration in accordance with the 
provisions of the National Cemeteries Act of 1973. When requested by the 
next of kin, an appropriate memorial headstone or marker will be 
furnished by the Veterans Administration and erected by cemetery 
personnel in a memorial section of the cemetery which has been set aside 
for this purpose. Headstones will be of white marble, upright slab 
design.

[[Page 332]]



Sec. 553.21  Monuments and inscriptions at private expense.

    (a) The erection of markers and monuments at private expense to mark 
graves in lieu of Government headstones and markers is permitted only in 
sections of Arlington National Cemetery in which private monuments and 
markers were authorized as of 1 January 1947. These monuments will be of 
simple design, dignified, and appropriate to a military cemetery. The 
name of the person(s) or the name of an organization, fraternity, or 
society responsible for the purchase and erection of the marker will not 
be permitted on the marker or anywhere else in the cemetery. Approval 
for the erection of a private monument will be given with the 
understanding that the purchaser will make provision for its future 
maintenance in the event repairs are necessary. The Department of the 
Army will not be liable for maintenance of or damage of the monument.
    (b) Where a monument has been erected to an individual interred in 
Arlington National Cemetery and the next of kin desires to have 
inscribed on it the name and appropriate data pertaining to a deceased 
spouse, parent, son, daughter, brother, or sister whose remains have not 
been recovered and who would have been eligible in their own right for 
burial in Arlington, such inscriptions may be incised on the monument at 
no expense to the Government. The words ``In Memoriam'' or ``In Memory 
Of'' are mandatory elements of these inscriptions.
    (c) Except as may be authorized for marking group burials, ledger 
monuments of freestanding cross design, narrow shafts, mausoleums, or 
overground vaults are prohibited. Underground vaults may be placed at 
private expense, if desired, at the time of interment.
    (d) Specific instructions concerning private monuments and markers 
are contained in TM 10-287.



Sec. 553.22  Visitors' rules for the Arlington National Cemetery.

    (a) Purpose. The rules of this section define the standards of 
conduct required of all visitors to the Arlington National Cemetery, 
Arlington, Virginia. Applicable Army regulations and directives should 
be consulted for all other matters not within the scope of these rules.
    (b) Scope. Pursuant to title 40 United States Code, sections 318a 
and 486, and based upon delegations of authority from the Administrator, 
General Services Administration, the Secretary of Defense, and the 
Secretary of the Army, this section applies to all Federal property 
within the charge and control of the Superintendent, Arlington National 
Cemetery, and to all persons entering in or on such property. At the 
discretion of the Secretary of the Army, any person or organization that 
violates any of the provisions of paragraphs (d), (e), (f), (g), and 
(h), or (i) of this section may be barred from conducting memorial 
services and ceremonies within the Cemetery for two years from the date 
of such violation. Any such person shall also be subject to the 
penalties set out in title 40, United States Code section 318c.
    (c) Definitions. When used in this section;
    (1) The term memorial service or ceremony means any formal group 
activity conducted within the Arlington National Cemetery grounds 
intended to honor the memory of a person or persons interred in the 
Cemetery or those dying in the military service of the United States or 
its allies. ``Memorial service or ceremony'' includes a ``private 
memorial service,'' ``public memorial service,'' ``public wreath laying 
ceremony'' and ``official ceremony'' as defined in this section.
    (2) The term official ceremony means a memorial service or ceremony 
approved by the Commanding General, Military District of Washington, in 
which the primary participants are authorized representatives of the 
United States Government, a state government, a foreign country, or an 
international organization who are participating in an official 
capacity.
    (3) The term private memorial service means a memorial service or 
ceremony, other than an official ceremony, conducted at a private 
gravesite within Arlington National Cemetery by a group of relatives 
and/or friends of the person interred or to be interred at

[[Page 333]]

that gravesite. Private memorial services may be closed to members of 
the public.
    (4) The term public memorial service means a ceremony, other than an 
official ceremony, conducted by members of the public at the Arlington 
Memorial Amphitheater, the Confederate Memorial, the Mast of the Maine, 
the John F. Kennedy Grave or at an historic shrine or at a gravesite 
within Arlington National Cemetery designated by the Superintendent, 
Arlington National Cemetery. All public memorial services are open to 
any member of the public to observe.
    (5) The term public wreath laying ceremony means a brief ceremony, 
other than an official ceremony, in which members of the public, 
assisted by members of the Tomb Guard, present a wreath or similar 
memento, approved by the Superintendent or Commanding General, at the 
tomb and plaza area of the Tomb of the Unknown Soldier (also known as 
the Tomb of the Unknowns). Participants follow the instructions of the 
Tomb Guards, Superintendent and Commanding General in carrying out the 
presentation. The ceremony is open to any member of the public to 
observe.
    (6) The term Superintendent means the Superintendent, Arlington 
National Cemetery or his representative.
    (7) The term Commanding General, means the Commanding General, U.S. 
Army Military District of Washington or his representative.
    (d) Visitors hours. Visitors' hours shall be established by the 
Superintendent and posted in conspicuous places. Unless otherwise posted 
or announced by the Superintendent, visitors will be admitted during the 
following hours:

October through March--8 a.m. through 5 p.m.
April through September--8 a.m. through 7 p.m.
No visitor shall enter or remain in the Cemetery beyond the time 
established by the applicable visitors' hours.

    (e) Destruction or Removal of Property. No person shall willfully 
destroy, damage, mutilate or remove any monument, gravestone, structure, 
tree, shrub, plant or other property located within the Cemetery 
grounds.
    (f) Conduct within the Cemetery. Because Arlington National Cemetery 
is a shrine to the honored dead of the Armed Forces of the United States 
and because certain acts, appropriate elsewhere, are not appropriate in 
the Cemetery, all visitors, including persons attending or taking part 
in memorial services and ceremonies, shall observe proper standards of 
decorum and decency while within the Cemetery grounds. Specifically, no 
person shall:
    (1) Conduct any memorial service or ceremony within the Cemetery, 
except private memorial services, without the prior approval of the 
Superintendent or Commanding General. All memorial services and 
ceremonies shall be conducted in accordance with the rules established 
in paragraph (h) and, except for official ceremonies, paragraph (i) of 
this section. Official ceremonies shall be conducted in accordance with 
guidance and procedures established by the Commanding General;
    (2) Engage in any picketing, demonstration or similar conduct within 
the Cemetery grounds;
    (3) Engage in any orations, speeches, or similar conduct to 
assembled groups of people, unless the oration is part of a memorial 
service or ceremony authorized by this section;
    (4) Display any placards, banners, flags or similar devices within 
the Cemetery grounds, unless, in the case of a flag, use of the same is 
approved by the Superintendent or Commanding General and is part of a 
memorial service or ceremony authorized by this section;
    (5) Distribute any handbill, pamphlet, leaflet, or other written or 
printed matter within the Cemetery grounds except that a program may be 
distributed if approved by the Superintendent or Commanding General and 
such distribution is a part of a memorial service or ceremony authorized 
by this section;
    (6) Allow any dog, cat, or other pet to run loose within the 
Cemetery grounds;
    (7) Use the Cemetery grounds for recreational activities such as 
sports, athletics, or picnics;

[[Page 334]]

    (8) Ride a bicycle within Cemetery grounds except on Meigs Drive, 
Sherman Drive and Schley Drive or as otherwise authorized by the 
Superintendent under this subparagraph. All other bicycle traffic will 
be directed to the Visitors' Center where bicycle racks are provided. 
Exceptions for bicycle touring groups may be authorized in advance and 
in writing by the Superintendent. An individual visiting a relative's 
gravesite may be issued a temporary pass by the Superintendent to permit 
him to proceed directly to and from the gravesite by bicycle;
    (9) Deposit or throw litter on Cemetery grounds;
    (10) Play any radio, tape recorder, or musical instrument, or use 
any loudspeaker within the Cemetery grounds unless use of the same is 
approved by the Superintendent or Commanding General and is part of a 
memorial service or ceremony authorized by this section;
    (11) Drive any motor vehicle within Arlington National Cemetery in 
excess of twenty miles per hour or such lesser speed limit as the 
Superintendent posts;
    (12) Park any motor vehicle in any area on the Cemetery grounds 
designated by the Superintendent as a no parking area; or leave any 
vehicle in the Visitors' Center Parking Lot at the Cemetery beyond two 
hours;
    (13) Engage in any disorderly conduct within the Cemetery grounds. 
For purposes of this section, a person shall be guilty of disorderly 
conduct if, with purpose to cause, or with knowledge that he is likely 
to cause, public inconvenience, annoyance or alarm, he:
    (i) Engages in, promotes, instigates, encourages, or aids and abets 
fighting, or threatening, violent or tumultuous behavior;
    (ii) Yells, utters loud and boisterous language or makes other 
unreasonably loud noise;
    (iii) Interrupts or disturbs a memorial service or ceremony;
    (iv) Utters to any person present abusive, insulting, profane, 
indecent or otherwise provocative language or gesture that by its very 
utterance tends to incite an immediate breach of the peace;
    (v) Obstructs movement on the streets, sidewalks, or pathways of the 
Cemetery grounds without prior authorization by competent authority;
    (vi) Disobeys a proper request or order by the Superintendent, 
Cemetery special police, park police, or other competent authority to 
disperse or to leave the Cemetery grounds; or
    (vii) Otherwise creates a hazardous or physically offensive 
condition by any act not authorized by competent authority.
    (g) Soliciting and Vending. No person shall display or distribute 
commercial advertising or solicit business while within the Cemetery 
grounds.
    (h) Requests to Conduct Memorial Services and Ceremonies. (1) 
Requests by members of the public to conduct memorial services or 
ceremonies shall be submitted to the Superintendent, Arlington National 
Cemetery, Arlington, Virginia 22211. Such requests shall describe the 
proposed memorial service or ceremony in detail to include the type of 
service, its proposed location, the name of the individual or 
organization sponsoring the service, the names of all key individuals 
participating in the service, the estimated number of persons expected 
to attend the service, the expected length of the service, the service's 
format and content, whether permission to use loud-speaker systems or 
musical instruments or flags during the service is requested and, if so, 
the number, type, and how they are planned to be used, whether 
permission to distribute printed programs during the service is 
requested, and, if so, a description of the programs, and whether 
military support is requested. Individuals and organizations sponsoring 
memorial services or ceremonies shall provide written assurance that the 
services or ceremonies are not partisan in nature, as defined in 
paragraph (i) of this section, and that they and their members will obey 
all rules set out in this section and act in a dignified and proper 
manner at all times while in the Cemetery grounds.
    (2) Requests to conduct official ceremonies shall be submitted to 
the Commanding General.
    (3) Memorial services or ceremonies other than private memorial 
services

[[Page 335]]

may be conducted only after permission has been received from the 
Superintendent or Commanding General. Private memorial services may be 
conducted only at the gravesite of a relative or friend. All other 
memorial services and ceremonies may be conducted only at the area or 
areas designated by the Superintendent or Commanding General as follows:
    (i) Public memorial services may be authorized to be conducted only 
at the Arlington Memorial Amphitheater, the Confederate Memorial, the 
John F. Kennedy Grave, or other sites designated by the Superintendent.
    (ii) Public wreath laying ceremonies may be authorized to be 
conducted at the tomb and plaza area of the Tomb of the Unknown Soldier 
(also known as the Tomb of the Unknowns).
    (iii) Official ceremonies may be authorized to be conducted at sites 
designated by the Superintendent or Commanding General.
    (i) Conduct of Memorial Services and Ceremonies. All memorial 
services and ceremonies within Arlington National Cemetery, other than 
official ceremonies, shall be conducted in accordance with the following 
rules:
    (1) Memorial services and ceremonies shall be purely memorial in 
purpose and dedicated only to the memory of all those interred in the 
Cemetery, to all those dying in the military service of the United 
States, to all those dying in the military service of the United States 
while serving during a particular conflict or while serving in a 
particular military unit or units, or to the memory of the individual or 
individuals interred or to be interred at the particular gravesite at 
which the service or ceremony is held.
    (2) Partisan activities are inappropriate in Arlington National 
Cemetery, due to its role as a shrine to all the honored dead of the 
Armed Forces of the United States and out of respect for the men and 
women buried there and for their families. Services or any activities 
inside the Cemetery connected therewith shall not be partisan in nature. 
A service is partisan and therefore inappropriate if it includes 
commentary in support of, or in opposition to, or attempts to influence, 
any current policy of the Armed Forces, the Government of the United 
States or any state of the United States; if it espouses the cause of a 
political party; or if it has as a primary purpose to gain publicity or 
engender support for any group or cause. If a service is closely 
related, both in time and location, to partisan activities or 
demonstrations being conducted outside the Cemetery, it will be 
determined to be partisan and therefore inappropriate. If a service is 
determined to be partisan by the Superintendent or the Commanding 
General, permission to conduct memorial services or ceremonies at the 
Cemetery will be denied.
    (3) Participants in public wreath laying ceremonies shall remain 
silent during the ceremony.
    (4) Participants in public memorial services at the John F. Kennedy 
Grave shall remain silent during the service.
    (5) Public memorial services and public wreath laying ceremonies 
shall be open to all members of the public to observe.
    (6) Participants in public wreath laying ceremonies shall follow all 
instructions of the Tomb Guards, Superintendent, and Commanding General 
relating to their conduct of the ceremony. (40 U.S.C. 318a, 486, and 
delegations of authority from the Administrator, General Services 
Administration, Secretary of Defense, and Secretary of the Army).
    (j) Tributes in Arlington National Cemetery to commemorate 
individuals, events, units, groups and/or organizations--(1) General. 
Tributes, which include plaques, medals, and statues, will be accepted 
only from those veterans organizations listed in the Directory of 
Veterans Organizations and State Department of Veterans Organizations 
published annually by the Veterans Administration or those substantially 
similar in nature.
    (2) Plaques at trees and other donated items. Plaques may be 
accepted and placed at trees or other donated items to honor the memory 
of a person or persons interred in Arlington National Cemetery or those 
dying in the military service of the United States or its allies.-

Plaques placed at trees or other donated items must conform to the 
specifications described in appendix A,

[[Page 336]]

Specifications for Tributes in Arlington National Cemetery. A rendering 
of the proposed plaque shall be sent to the Superintendent, Arlington 
National Cemetery, Arlington, Virginia 22211-5003 for approval.
    (k) Tributes to the Unknowns (Unknown Soldier)--(1) General. 
Tributes, normally plaques, to the Unknowns by those organizations 
described in Sec. 553.22(j) above must conform to specifications and 
guidelines contained in appendix A, Specifications for Tributes in 
Arlington National Cemetery. Descriptions of the character, dimensions, 
inscription, material and workmanship of the tribute must be submitted 
in writing to Superintendent, Arlington National Cemetery, Arlington, 
Virginia 22211-5003 for approval.
    (2) Tributes to the Unknowns (Unknown Soldier) Presented by Foreign 
Dignitaries. Presentation of tributes by Foreign Dignitaries is allowed 
as part of an official ceremony as defined herein.
    (l) Monuments. Monuments (other than private monuments or markers) 
to commemorate an individual, group or event may be erected following 
joint or concurrent resolution of the Congress.

    Appendix A to Part 553--Specifications for Tributes in Arlington 
                            National Cemetery

    1. Purpose. The appendix provides specifications and guidelines for 
obtaining approval for the donation of tributes at Arlington National 
Cemetery. -
    2. Approval. The Superintendent, Arlington National Cemetery, 
Arlington, Virginia 22211-5003 exercises general supervision over 
Arlington National Cemetery; and his approval of proposed tributes to be 
placed in Arlington National Cemetery is required.
    3. Who May Offer Tributes. a. Tributes will be accepted only from 
those veterans' organizations listed in the Directory of Veterans 
Organizations and State Department of Veterans Organizations published 
annually by the Veterans Administration or those substantially similar 
in nature. Tributes will not be accepted from individuals or from 
subdivisions of parent organizations.
    b. Only one tribute will be accepted from an organization. However, 
with prior approval, the inscription of a tribute already presented in 
Memory of the Unknown Soldier (World War I) may be reworded by the 
donating organization to commemorate one additional or all the Unknowns, 
or a new tribute may be substituted for the old one.
    4. Design--a. Character. The design of the tribute shall be 
artistically proportioned and shall be consistent with the sacred 
purpose of the shrine, which is to honor heroic military service as 
distinguished from civilian service however notable or patriotic.
    b. Dimensions. The surface area of the tribute, including the 
mounting, shall not exceed 36 square inches; and the thickness or height 
shall not exceed two (2) inches when mounted.
    c. Inscriptions--(1). Tributes to the Unknowns. Tributes are 
accepted only for the purpose of commemorating and paying homage and 
respect to one or more of the Unknowns. Thus all tributes must include, 
either in the basic design or on a small plate affixed thereto, a clear 
indication of such commemoration.
    Suggestions follow:

--In Memory Of The American Heroes Known But to God
--The American Unknowns
--The Unknown American Heroes
--The Unknown Soldier
--The Unknown of World War II
--The Unknown of the Korean War
--The Unknown American of World War II
--The Unknown American of the Korean War

    The identity of the donor/Date of Presentation.
    2. Other Tributes including plaques at trees and other donated 
Items. Inscriptions on tributes will be in keeping with the dignity of 
Arlington National Cemetery.
    d. Material and Workmanship. The material and workmanship of the 
tribute, including the mounting, shall be of the highest quality, free 
of flaws and imperfections.
    5. Applications. Requests for authority to present tributes shall be 
submitted in writing to the Superintendent, Arlington National Cemetery, 
Arlington, Virginia 22211-5003.
    a. A scale drawing or model, showing the exact inscription and other 
details of the proposed tribute.
    b. A copy of the constitution and bylaws of the organization 
desiring to make the presentation.
    6. Final Approval. Upon fabrication, the completed tribute will be 
forwarded to the Superintendent, Arlington National Cemetery, Arlington, 
Virginia 22211-5003 for visual inspection prior to its presentation.
    7. Presentation of Tributes. After authorized acceptance of the 
tribute the sponsoring organization may arrange appropriate presentation 
ceremonies with the Superintendent, Arlington National Cemetery, 
Arlington, Virginia 22211-5003. If presentation ceremonies are not 
desired, the Superintendent will acknowledge receipt of the tribute and 
inform the sponsoring organization of the

[[Page 337]]

number of the case in which it reposes in the Memorial Display Room at 
the Amphitheater at Arlington National Cemetery.

[45 FR 80524, Dec. 5, 1980, as amended at 51 FR 19708, May 30, 1986; 51 
FR 43742, Dec. 4, 1986]



PART 555_CORPS OF ENGINEERS, RESEARCH AND DEVELOPMENT, LABORATORY RESEARCH 
AND DEVELOPMENT AND TESTS, WORK FOR OTHERS--Table of Contents




Sec.
555.1 Purpose.
555.2 Applicability.
555.3 References.
555.4 Policy.
555.5 Terms of providing reimbursement for work performed.
555.6 Authority.
555.7 Submission of technical proposals.
555.8 Program documentation.
555.9 Reporting requirements for work in support of DOE.
555.10 Coordination requirements.

Appendix A to Part 555--Director of Defense Research and Engineering

    Authority: 10 U.S.C. 3036; 22 U.S.C. 2357; 22 U.S.C. 2421; 31 U.S.C. 
686; 42 U.S.C. 4221-4225.

    Source: 45 FR 32302, May. 16, 1980, unless otherwise noted.



Sec. 555.1  Purpose.

    This regulation defines and establishes policies and procedures 
applicable to the performance of research and development and tests at 
Corps of Engineers laboratory installations for other governmental and 
private agencies and organizations.



Sec. 555.2  Applicability.

    This regulation applies to the U.S. Army Engineer Waterways 
Experiment Station (WES), the U.S. Army Construction Engineering 
Research Laboratory (CERL), the U.S. Army Engineer Topographic 
Laboratories (ETL), the U.S. Army Coastal Engineering Research Center 
(CERC), the U.S. Army Cold Regions Research and Engineering Laboratory 
(CRREL), the U.S. Army Facilities Engineering Support Agency (FESA), the 
U.S. Army Corps of Engineers Water Resources Support Center (WRSC).



Sec. 555.3  References.

    (a) AR 10-5.
    (b) AR 37-27.
    (c) AR 70-1.
    (d) ER 1-1-6.
    (e) ER 1-1-7.
    (f) ER 70-1-5.
    (g) ER 70-1-10.
    (h) ER 1110-1-8100.
    (i) ER 1110-2-8150.
    (j) ER 1140-2-302.
    (k) ER 1140-2-303.



Sec. 555.4  Policy.

    (a) The policies and procedures covered herein extend and supplement 
the performance of work for other Federal Agencies authorized in ER 
1140-2-302, and services for State and local governmental units 
authorized in ER 1140-2-303, and the policy set forth by the Secretary 
of Defense in appendix A.
    (b) Subject to the authority limitations contained in Sec. 555.6 of 
this part, research and development and tests may be performed for other 
agencies of the Federal Government, State and local governments, foreign 
governments and private firms under the following conditions:
    (1) The work is performed on a cost reimbursable basis; or on a 
cooperative basis with the Department of Energy (DOE), utilizing the 
resources of both DOE and the Corps; or as a part of direct funded 
programs for the Army Materiel Development and Readiness Command 
(DARCOM) or the Defense Mapping Agency (DMA), as provided for in 
Sec. Sec. 555.6(a)(1), 555.6(a)(2), 555.7, and 555.9 of this part.
    (2) Performance of the work will not interfere with performance of 
services essential to the mission of the Corps.
    (3) Performance of the work will not require an increase in the 
permanent staff of the facility.
    (4) Performance of the work will not require expansion of normal 
facilities.
    (5) The work is within the scope of authorized activities of the 
laboratory at which the work is to be performed.
    (6) Performance of the work will not be adverse to the public 
interest.
    (7) Work will not be performed for foreign government or private 
firms unless it is firmly established that other laboratory facilities 
capable of

[[Page 338]]

performing the services are not available, or because of location or for 
other reasons it is clearly impractical to utilize other laboratory 
services.
    (8) Prior to performing any research and development or tests for 
private firms, CE laboratories will obtain a written certification from 
such firms stating that the results of the work to be performed will not 
be used in litigation or for promotional purposes.



Sec. 555.5  Terms of providing reimbursement for work performed.

    (a) Federal Agencies. Reimbursement for work for the Department of 
Defense, the Department of the Army, and other Federal Agencies will be 
in accordance with the procedures prescribed in AR 37-27.
    (b) Private firms and Foreign Governments. Funds to cover the total 
estimated cost of the work or an initial increment of the estimated cost 
based on an approved schedule of payment will be deposited with the 
installation performing the work before any obligations or expenses in 
connection with the work are incurred; and when funds are being 
deposited on an approved schedule, no obligations or expenses will be 
incurred in connection with the work in excess of funds on deposit. 
Charges shall include a surcharge of 15% of all applicable costs, except 
under the following conditions:
    (1) When the final product will directly contribute to planning, 
design, research, or construction activities in which Federal funds are 
involved by grant or otherwise.
    (2) Where an exception is granted based on a direct benefit to the 
Government. Adequate justification, outlining the direct benefits which 
are expected to accrue to the Government, will be forwarded to HQDA 
(DAEN-RD) WASH DC 20314, for review and approval prior to deletion of 
the surcharge.
    (c) State and Local Governments. Work for State and local 
governments will be performed only to the extent that cash has been 
received and deposited with the U.S. Treasury in advance of actual 
expenditures. When the work for State and local governments is to be 
performed as part of an authorized Civil Works Project, reimbursement 
may be made in annual installments during the period of performance in 
accordance with Section 40 of the Water Resources Development Act of 
1974.



Sec. 555.6  Authority.

    The following delegations of authority to perform research and 
development and tests apply.
    (a) Major Corps of Engineers Research and Development Laboratories. 
The major Corps of Engineers research and development organizations are 
identified as WES, CERL, ETL, CERC, and CRREL. While not major CE R&D 
Laboratories, FESA, IWR, and HEC are responsible for performance of 
specific R&D functions.
    (1) Subject to the provisions of Sec. 555.8 of this regulation, the 
Commanders and Directors of WES, ETL and CRREL are authorized to perform 
direct funded work for DARCOM and DMA in accordance with the applicable 
memorandums of understanding.
    (2) Subject to the provisions of Sec. Sec. 555.7 and 555.9, the 
Commanders and Directors of CERL, CRREL, WES and FESA, for specific 
research and development functions, are authorized to perform work for 
DOE in accordance with the applicable memorandum of understanding.
    (3) Except as provided for in paragraphs (a) (5) and (6) of this 
section, the Commanders and Directors of WES, CERL, CERC, CRREL, ETL and 
FESA are authorized to perform reimbursable work without OCE prior 
approval for Army agencies, Federal, State and local governmental 
agencies where the total estimated cost of each request for research and 
development or test is $50,000 or less. The Research and Development 
Office will be advised of each request for research and development or 
test having an estimated cost exceeding $20,000 (excluding cement 
sampling and testing work covered in Sec. 555.6(a)(5) herein). 
Reimbursable research and development and test work for which the cost 
is estimated to be in excess of $50,000 will not be initiated until 
authorization is received. Written requests for authorization to conduct 
work beyond the $50,000 limit and notification of all scheduled work 
costing between $20,000 and $50,000 shall be submitted to DAEN-RD. These 
requests

[[Page 339]]

should accompany the technical proposal copy required by Sec. 555.7(a) 
herein. It should include an explanation of the proposed work including 
how the work complements or impacts on-going research.
    (4) Except as provided for in Sec. 555.6(a)(5), the Commanders and 
Directors of WES, CERL, CERC, CRREL, ETL and FESA are delegated 
authority to perform reimbursable research and development for U.S. 
private firms and foreign governments when the total estimated cost of 
each request for research and development or test is $20,000 or less. 
Approval is required when estimated costs exceed this authority. Written 
requests for approval shall be addressed to DAEN-RD.
    (5) Corps R&D Laboratories are authorized to participate in the 
Department of Defense Technology Transfer Consortium. Participation in 
and effort undertaken to adapt existing technology or on-going research 
for transfer to the civil sector as a result of participation in this 
consortium shall be subject to the provisions of appendix A.
    (6) The Director of WES is authorized to perform sampling and 
testing of cement and pozzolan for Federal, State, and local 
governmental agencies without limitation on cost. Approval is required 
prior to performance of sampling and testing of cement and pozzolan for 
private firms and foreign governments when the total estimated cost of 
sampling and testing services exceeds $2,500. Requests for approval 
shall be addressed to DAEN-RD.
    (7) The Director of CERL is authorized to perform compliance testing 
of paint for Federal, State and local governmental agencies without 
limitation on cost.



Sec. 555.7  Submission of technical proposals.

    (a) Corps of Engineers research and development laboratories are 
authorized to submit technical proposals directly to other Federal 
agencies covering proposed work in their assigned fields except that 
proposals submitted to DMA must be submitted through DAEN-RD for 
approval. Proposals for cooperative effort projects under the DOD-DOE 
Memorandum of Understanding utilizing DOD and DOE resources, will be 
forwarded to DAEN-RD for securing prior approval from the DA and DOD 
Program Coordinators. Copies of proposals which exceed the delegation of 
authority contained in this ER will be submitted to the Chief of 
Engineers marked for the attention of DAEN-RD.
    (b) The above authority for direct submission of technical proposals 
does not include authority to perform work when proposals are accepted 
if the estimated cost exceeds the limits stated before. Authority to 
proceed will be as outlined in Sec. 555.6.



Sec. 555.8  Program documentation.

    Program documentation will be submitted in accordance with 
instructions provided by the sponsoring agency with two copies to HODA 
(DAEN-RD) WASH DC 20314.



Sec. 555.9  Reporting requirements for work in support of DOE.

    The following reports are to be submitted to HODA with a copy to 
Commander and Director, CERL. CERL has been assigned the responsibility 
of Principal Laboratory for Energy R&D.
    (a) All executed agreements subordinate to the DOD-DOE Memorandum of 
Understanding will be reported to DAEN-RD for forwarding to DA and DOD 
Program Coordinators within 20 days of their consummation.
    (b) Reports analyzing each agreement and the DOD-DOE Memorandum of 
Understanding will be prepared as a ``Report on the Department of 
Defense--Department of Energy Interagency Agreement'', Report Control 
Symbol DD-M(SA)1511 and forwarded to DAEN-RD within 20 days after the 
end of the second and fourth quarters each fiscal year. Reports are to 
be prepared in accordance with the procedures prescribed in DEPPM, No. 
78-8. In addition, informal reporting of other cooperative work with DOE 
not falling under the MOU, will also be reported at those times.
    (c) Notifications of non-compliance. DAEN-RD should be promptly 
notified if the Corps component or DOE fail to comply with the terms of 
the DOD-DOE Memorandum of Understanding or subordinate agreements. This 
notification shall include:

[[Page 340]]

    (1) A brief statement of the problem.
    (2) Nature of corrective action proposed.
    (3) Any recommended action for the DOD Program Coordinator.



Sec. 555.10  Coordination requirements.

    All reimbursable work accepted by a laboratory which falls into a 
category for which a Principal Laboratory has been designated by DAEN-
RD, will be reported to the designated POC in the Principal Laboratory, 
with a copy of the notification to DAEN-RD.

  Appendix A to Part 555--Director of Defense Research and Engineering

                             June 14, 1974.

 Memorandum for Assistant Secretaries of the Military Departments (R&D)

Subject: Non-Defense Work in DoD Labs and R & D Facilities.
    The Deputy SECDEF, in his memorandum of 21 January 1972 to the 
Secretaries of the Military Departments, on the above subject, 
(enclosure 1), outlined broad policy considerations for the DoD 
Laboratory Consortium formed to coordinate non-defense work being 
performed by them for other government organizations. In order to 
establish more precise guidelines for the Consortium, an operating 
policy has been developed (enclosure 2) which establishes criteria for 
Consortium membership and the type of work that may be undertaken. Also, 
the following additional constraints are placed upon the operation of 
this Consortium;
     The expenditure of in-house effort in any one 
laboratory shall be limited to 3% of the professional man-years at that 
laboratory unless expressed approval of the parent Military Department 
is granted to exceed this limit.
     The DoD commitment to support the brokerage 
function at the National Science Foundation shall not exceed two man-
years per year through FY 76, subject to the continued willingness of 
the Military Departments to absorb the costs.
                                                      Malcolm R. Currie.
                                                       January 21, 1972.
Memorandum for Secretaries of the Military Departments Director of 
          Defense Research and Engineering Assistant Secretary of 
          Defense (Comptroller).
Subject: Non-Defense Work in DOD Laboratories and R&D Facilities Civil 
          government agencies are expressing an increased interest in 
          the application of defense and aerospace technology to the 
          solution of problems in the civil sector. Included in this 
          interest is the desire to exploit the technological expertise 
          which exists in our DOD laboratories for the solutions of 
          domestic problems. Separate and distinct from work done for 
          defense oriented agencies such as AEC and NASA, our DOD 
          laboratories have, for may years, performed selected projects 
          for other agencies upon request. Recently, fifteen of these 
          laboratories have formed a consortium for the purpose of 
          coordinating the non-defense work being performed by them for 
          other government organizations. Although the level of effort 
          is a very small percentage in these laboratories at the 
          present time, the aggregate can have a substantial beneficial 
          impact on domestic programs.
    It is generally conceded that the most efficient transfer of 
technology occurs when the adaptation of a technology to a new purpose 
is carried out by the team which carried out the original development. 
Recognizing this, the Federal Council on Science and Technology (FCST) 
has approved a ``Policy for Expanded Interagency Cooperation in Use of 
Federal Laboratories'' (attached). I endorse the spirit and intent of 
this policy.
    The Military Services are encouraged to participate in this endeavor 
consistent with mission and legislative constraints. The level of effort 
in any laboratory is the prerogative of the cognizant Military 
Department which may, in turn, issue more detailed policy guidance as 
appropriate. Any Military Department policy shall be subject to the 
following considerations:
    (a) The level of effort of the work undertaken shall be such that it 
does not impede the accomplishment of the missions of the Military 
Services and the defense laboratories.
    (b) The projects selected for non-defense work shall be compatible 
with the technological capability of the laboratory performing the work.
    (c) Projects may be undertaken in support of federal, state and 
local government organizations. Non-defense work will be performed for 
the private industrial sector only on an exception basis.
    (d) The full costs of projects undertaken shall be supported by 
transfer of funds through formal written agreements.
    (e) Jointly sponsored projects are permitted when there is also a 
direct application to a Military requirement. The commitment of funds 
and resources to joint programs shall be commensurate with the interest 
of each agency in the project.
    The Assistant Secretary of Defense (Comptroller) shall explore with 
the Office of Management and Budget means for providing relief from any 
imposed manpower constraints to the extent of the DOD participation in 
non-defense work.

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   Operating Policy of the Department of Defense Technology Transfer 
                               Consortium

    Purpose--The purpose of this policy is to establish the basic 
framework and direction of the Department of Defense (DOD) Technology 
Transfer Consortium.
    Background--The DOD currently funds approximately half of the total 
Federal expenditure for R&D. Civil government agencies are expressing an 
increased interest in the exploitation of defense technology for the 
solution of problems in the civil sector. The Military Departments have 
been encouraged to cooperate in this endeavor, subject to considerations 
promulgated by the Secretary of Defense.
    Consortium Purpose--The DOD Laboratories are a source of technology 
for the solution of these civil sector problems which are amenable to 
technological solutions. The primary role of the in-house laboratories 
is to provide a research and development base for the development of 
systems required to fulfill the national security mission of the DOD. 
However, these laboratories can serve a vital secondary role in the 
adaptation of technology to other fields and areas of need to the extent 
that it does not adversely impact on the primary DOD mission. A 
consortium of DOD Laboratories is formed for the purpose of coordinating 
interactions with other Federal Agencies and technology users at 
federal, state, and local level, and of coordinating the efforts in this 
endeavor. The technology transfer consortium is an association of DOD 
Laboratories working together through an informal affiliation. The main 
thrust of the consortium activity is through the individual and 
cooperative efforts of the laboratories involved, with an emphasis on 
the transfer and adaptation of technology through person-to-person 
mechanisms.
    Criteria for Laboratory Consortium Membership. The following 
criteria for the participation of a DOD Laboratory in Consortium 
activities shall apply:
     The participation of any laboratory shall be 
undertaken with the full knowledge of the parent Military Department and 
the director or commander of the laboratory.
     For each participating laboratory an individual 
shall be designated by name to represent that laboratory to the 
consortium, and to coordinate the technology transfer activities of that 
laboratory. Procedures should be adopted within each laboratory to 
preclude the dilution of the efforts of middle and top level management 
by their involvement in the administrative aspects of the technology 
transfer effort.
     Any laboratory may withdraw from the Consortium 
by notifying the Consortium Chairman of this intent.
    Criteria for Conduct of Work--It is the view of the Consortium that 
the civil sector should rely on the private enterprise system to provide 
those services which are reasonably and expeditiously available through 
ordinary business channels. The laboratories shall attempt to provide a 
supplemental resource that is not technically available or that is 
obtainable only at an excessive cost. Such services shall not supplant 
existing private or industrial resources but are offered to enable other 
Federal agencies, State and local governments to avoid unnecessary 
duplication of special service functions.
    The following criteria shall apply for the conduct of work 
undertaken in the technology transfer program:
     In order for work to be undertaken for any 
government organization each of the following criteria must be 
satisfied:
    a. Laboratory staff will not increase as a result of the additional 
work.
    b. Laboratory facilities will not be added for non-DOD work.
    c. Proposed work should relate to a laboratory's area of particular 
expertise and the laboratory should be a significant resource in the 
particular subject area.
    d. A determination should be made that the laboratory's background, 
experience and facilities are such that private industry could not 
perform the work except at a significantly increased cost.
     The major emphasis of the Technology Transfer 
Consortium should be directed to:
    a. The transfer or adaptation of existing technology, either 
directly, or after being subjected to adaptive engineering.
    b. The preparation of documentation and technical assistance in 
those activities unique to the mission of the DOD laborabories.
     Work will be performed for private industry only 
on an exception basis, such as when the laboratory possesses unique 
facilities that are required and which are not available in the private 
sector.
     Description of the work to be accomplished and 
the funds to be transferred will normally be specified in a formal 
interagency agreement.
     All costs shall be recovered from the receiving 
government organization, including realistic overhead costs, except that 
cooperative developments on a shared cost basis are encouraged where 
there is a distinct military application.
     Laboratory production of hardware shall normally 
be limited to prototypes or test units required to prove feasibility.
     Adaptive engineering shall not be performed on 
technological innovations for which a patent application has been made 
by a private industrial firm unless permission is received in writing 
from that firm. Technical, consulting, and support services will not 
normally be furnished another agency on a continuing basis.

[[Page 342]]

     Work in the form of analytic services shall not 
normally be undertaken in areas where comparable expertise exists in 
competitive industry. An exception to this provision is acceptable in 
areas of problem definition where existing Defense technology offers a 
unique potential solution.

[[Page 343]]



                     SUBCHAPTER E_ORGANIZED RESERVES





PART 562_RESERVE OFFICERS' TRAINING CORPS--Table of Contents




Sec.
562.1 Purpose.
562.2 Applicability.
562.3 Definitions.
562.4 Objectives.
562.5 Policies.
562.6 Responsibilities.
562.7 Program information.
562.8 Army Advisory Panel on ROTC Affairs.

    Authority: 10 U.S.C. 2101-2111, unless otherwise noted.

    Source: 44 FR 51221, Aug. 31, 1979, unless otherwise noted.



Sec. 562.1  Purpose.

    This regulation gives policies for conducting the Army's Senior 
Reserve Officers' Training Corps (ROTC) Program.



Sec. 562.2  Applicability.

    This regulation applies to the program given at college level 
institutions and at the college level in military junior colleges.



Sec. 562.3  Definitions.

    The following terms apply to the Army's Senior Reserve Officers' 
Training Corps Program:
    (a) Academic year. A period covering two semesters, or the 
equivalent, in which a student should complete one-fourth of the 
baccalaureate degree requirements under a 4-year college curriculum, or 
one-fifth of the requirements under a 5-year curriculum. The vacation 
period or summer session which follows is not normally included.
    (b) Advanced camp. The advanced camp training period held on a 
military installation. This is part of the advanced course and normally 
attended between Military Science (MS)-III and MS-IV. (The Ranger camp 
is an acceptable alternate).
    (c) Advanced course. The Senior ROTC 2-year advanced course of study 
(MS-III and MS-IV), including advanced camp. This advanced study 
normally taken by the cadet during his/her junior and senior years in 
college (freshman and sophomore years in a military junior college 
(MJC)).
    (d) Basic camp. The 6-week ROTC training course held at a military 
installation. This course is normally taken before the applicant's 
junior academic year. It is a prerequisite to enrollment in the 2-year 
ROTC program.
    (e) Basic course. The 2-year senior ROTC basic course (MS-I and MS-
II) normally pursued by the cadet during freshman and sophomore years in 
college.
    (f) Branch material. Designation of a course of instruction designed 
to prepare the cadet for appointment as a commissioned officer in a 
specific branch of the Army. A branch material unit may offer training 
in one or more specific branches.
    (g) Cadet. A term applied to each enrolled member of the ROTC 
program, including alien students in MS-I or MS-II. As a grade of rank, 
this term applies only to advanced course cadets.
    (h) Four-year Senior ROTC Program. The 4-year Senior ROTC Program 
consisting of 4 years of military science (MS-I, -II, -III, and -IV), 
and ROTC advanced camp.
    (i) General military science (GMS). A ROTC instruction program to 
prepare a cadet for appointment as a commissioned officer in any branch 
of the Army for which he/she is qualified.
    (j) Military science (MS). The Senior ROTC curriculum which consists 
of two courses, the basic course (MS-I and MS-II) and the advanced 
course (MS-III and MS-IV).
    (k) Professor of Military Science (PMS). The academic and military 
title of the senior commissioned Army officer assigned to a Senior ROTC 
unit.
    (l) Region commander. The commanding general of a U.S. Army ROTC 
Region who is responsible for the operation, training, and 
administration of the ROTC program within his/her geographical area. 
Region commanders are located at:
    (1) US Army First ROTC Region, Fort Bragg, NC 28307.
    (2) US Army Second ROTC Region, Fort Knox, KY 40121.

[[Page 344]]

    (3) US Army Third ROTC Region, Fort Riley, KS 66442.
    (4) US Army Fourth ROTC Region, Fort Lewis, WA 98433.
    (m) ROTC ranger camp. The ranger course conducted by the US Army 
Infantry School for volunteer cadets. Those selected attend in lieu of 
advanced camp.
    (n) Two-year ROTC Program. A Senior ROTC Program of the same status 
as the 4-year program. It consists of the advanced course, preceded by 
basic camp as a qualifying step (in lieu of MS-I and MS-II).



Sec. 562.4  Objectives.

    The objectives of the ROTC program are to:
    (a) Attract, motivate, and prepare students with potential to serve 
as commissioned officers in the Regular Army or the US Army Reserve.
    (b) Understand the concepts and principles of military art and 
science.
    (c) Develop potential to lead and manage.
    (d) Understand other professions.
    (e) Develop integrity, honor, and responsibility.
    (f) Appreciate the need for national security. Attaining these 
objectives prepares students for commissions and establishes a basis for 
future professional development and performance in the Army.



Sec. 562.5  Policies.

    (a) The ROTC draws young men and women from all geographic areas and 
all strata of our country. It uses the many educational disciplines 
required for the modern Army. The ROTC ensures that men and women 
educated in a variety of American schools of higher learning are 
commissioned annually in the Army officer corps. In the future, the ROTC 
will continue to be the major source of newly commissioned officers for 
the Active Army, both Regular Army and Reserve forces. In addition, ROTC 
provides an advantage both to the Army and institutions of higher 
learning by assisting in the education of future Army Officers and 
providing a communication link between our military leaders and our 
developing students.
    (b) The Army Senior ROTC program is a cooperative effort, contracted 
between the Army and host institution to provide junior officer 
leadership in the interest of national security. The Army maintains a 
cordial and cooperative relationship with host institutions. The Army's 
goal is to continue to develop well-educated young men and women with 
potential as leaders in both civilian enterprise and national defense. 
The Army is receptive to valid criticism, regardless of source, as a 
means of maintaining a workable program. The right of orderly campus 
dissent is recognized. However, anti-ROTC activities which degrade and 
distort the Army image cannot be ignored. Consequently, the Army must 
look to its institutional hosts to provide campus support for the ROTC 
program.
    (c) The program meets changing educational philosophies and 
concepts. It gives a flexible course of study in the changing 
environment of the academic community. A curriculum in the ROTC program 
is not restricted to classroom teaching. Program objectives may be 
satisfied in a variety of ways. A program may include a curriculum of 
other than classroom instruction if: it provides stated learning 
results, it is adopted by the host institution as part of its 
curriculum, and it follows the program of instruction published by the 
US Army Training and Doctrine Command. The PMS has authority, subject to 
limits set by the region commander, to develop courses that accomplish 
program objectives of the host institution. Activities which are part of 
the host school's curriculum require the same degree of support as other 
elements of the curriculum. The goal of the ROTC program is to 
commission well-educated young men and women in the Army.
    (d) The PMS is responsible to see that each cadet realizes the 
importance of choice of branch preferences and what is involved in 
making an intelligent selection. Each graduating cadet by Army policy is 
assigned to the branch indicated by personal preference, academic major, 
physical qualifications, ROTC training, and demonstrated abilities, 
whenever possible. However, the assignment must be made by the needs of 
the service and may

[[Page 345]]

prevent selection based on the other factors. In assigning branches 
consideration is given to the cadet's academic specialization.



Sec. 562.6  Responsibilities.

    (a) The Commanding General, US Army Military Personnel Center, 200 
Stovall Street, Alexandria, VA 22332, is the adminstrator of the 
Department of the Army for ROTC.
    (b) The Commanding General, US Army Training and Doctrine Command, 
Ft. Monroe, VA 23651, manages and operates the ROTC program, except for 
those functions and responsibilities retained by Headquarters, 
Department of the Army.
    (c) The Professor of Military Science (PMS) is the key to the 
success of the ROTC program. He/she is responsible for setting up the 
Military Science Program to blend the philosophies of the institution 
with the needs of the Army.

[44 FR 51221, Aug. 31, 1979; 45 FR 9262, Feb. 12, 1980]



Sec. 562.7  Program information.

    (a) The Senior ROTC is conducted at military colleges, civilian 
colleges and universities and military junior colleges. School 
authorities may apply for a ROTC unit to the region commander of the 
area in which the school is located or to TRADOC. To be eligible for a 
unit, the institution must:
    (1) Be a 4-year degree granting college or university.
    (2) Be accredited by an appropriate regional accrediting association 
or accredited by a nationally recognized professional accrediting 
association.
    (3) Have an enrollment large enough to ensure that officer 
production requirements will be met.
    (4) Agree to--
    (i) Establish a Department of Military Science as an integral 
academic and administrative department of the institution.
    (ii) Adopt as part of the institution's curriculum either the 2- or 
4-year program (or both) of the senior ROTC.
    (iii) Require each cadet enrolled in any ROTC course to devote the 
number of hours to military instruction prescribed by the Secretary of 
the Army.
    (iv) Make available for use by the Senior ROTC unit necessary and 
adequate classrooms, administrative offices, office equipment, storage 
space, drill field, and other required facilities in a fair and 
equitable manner in comparison with other departments of the institution 
(or other elements of the institution, if the institution does not have 
departments) and to pay the costs of utilities and maintenance thereof.
    (v) Grant appropriate academic credit applicable toward graduation 
for successful completion of courses offered by the Department of 
Military Science.
    (vi) Arrange for the scheduling of military classes to make it 
equally convenient for students to participate in ROTC as in other 
courses at the same educational level.
    (vii) Include a representative of the Department of Military Science 
designated by the PMS on all faculty committees whose recommendations 
would directly affect the Department of Military Science.
    (viii) Provide, without expense to the Army, adequate storage and 
issue facilities for all Government property provided for the ROTC 
program, when the Army assumes accountability and responsibility for 
Government property. Adequate facilities will consist of safe, well-
lighted, dry, heated, ventilated areas, provided with office space, 
shelving, bins, clothing racks, and cabinets, as required, and suitable 
storage space for arms and ammunition. All windows will be securely 
barred or provided with heavy mesh screen, and doors will be reinforced 
and fitted with cylinder locks. Such facilities will be separate and 
apart from those occupied by any other department of the institution or 
other Government agency. Determination will be made by the region 
commander as to adequacy, safety, and satisfactory nature of storage and 
issue facilities.
    (5) Produce a minimum annual average of 15 qualified commissioned 
officers from each 4-year senior division unit or a combination of a 4- 
and 2-year senior division unit; or a minimum annual average of 10 
qualified officers from each 2-year senior division unit.
    (6) Comply with the following requirements:

[[Page 346]]

    (i) There will be no discrimination with respect to admission to the 
institution or subsequent treatment of students on the basis of race, 
color, or national origin.
    (ii) The senior commissioned officer of the ROTC unit at the 
institution will be given the academic rank of Professor.
    (b) Institutional authorities may, subject to approval of Department 
of the Army, elect to--
    (1) Administer a GMS unit or a branch material unit. Their 
preference will be given consideration, but the type of unit approved 
for establishment will be determined on the basis of the needs of the 
Army.
    (2) Administer the 4-year or the 2-year ROTC program, or both.
    (3) Maintain accountability and responsibility for Government 
property issued for the ROTC program by complying with the following 
requirements or apply for relief therefrom.
    (i) Appoint an officer of the institution as military property 
custodian who will be empowered to requisition, receive, stock, and 
account for Government property issued to the institution, and otherwise 
transact matter pertaining thereto for and in behalf of the institution.
    (ii) Conform to the regulations of the Secretary of the Army 
relating to issue, care, use, safekeeping turn-in and accounting for 
such Government property as may be issued to the institution.
    (iii) Comply with the provisions of law and regulations of the 
Secretary of the Army pertaining to the furnishing of a bond to cover 
the value of all Government property issued to the institutions, except 
uniforms, expendable articles, and supplies expendable in operation, 
maintenance, and instruction.
    (c) Students desiring enrollment in a unit must:
    (1) Be enrolled in and attending fulltime a regular course of 
instruction at a school participating in the program.
    (2) Be a citizen of the United States.
    (3) Be at least 17 years of age.
    (4) Be physically capable of participating in the program.



Sec. 562.8  Army Advisory Panel on ROTC Affairs.

    (a) The Army Advisory Panel on ROTC Affairs (AAP) was established on 
April 28, 1952. The AAP provides for a continuous exchange of views 
between the U.S. Army Training and Doctrine Command, the Department of 
the Army, and the academic community.
    (b) Membership is drawn from national educational associations, 
faculty members and administrators from ROTC host institutions and 
nationally prominent individuals.
    (c) The AAP meets as required, but not less than once annually and 
the meetings are open to the public.

[45 FR 39502, June 11, 1980]



PART 564_NATIONAL GUARD REGULATIONS--Table of Contents




                      Medical Attendance and Burial

Sec.
564.37 Medical care.
564.38 For whom authorized.
564.39 Medical care benefits.
564.40 Procedures for obtaining medical care.
564.41 Burial.

 Claims for Damages Involving the National Guard and Air National Guard

564.51 Purpose.
564.52 Statutory authority.
564.53 Definitions.
564.54 Claims payable.
564.55 Claims not payable.
564.56 Action by claimant.
564.57 Procedure.
564.58 Determination of amount allowable.

    Authority: Section 110, 70A Stat. 600; 32 U.S.C. 110.

                      Medical Attendance and Burial

    Source: Sections 564.37 through 564.41 appear at 44 FR 16385, Mar. 
19, 1979, unless otherwise noted.



Sec. 564.37  Medical care.

    (a) General. The definitions of medical care; policies outlining the 
manner, conditions, procedures, and eligibility for care; and the 
sources from which medical care is obtained are enumerated in AR 40-3.
    (b) Elective care. Elective care in civilian medical treatment 
facilities or

[[Page 347]]

by civilian medical and dental personnel is not authorized. The medical 
care authorized by this regulation is limited to that necessary for the 
treatment of the disease or injury incurred under the conditions 
outlined herein.
    (c) Prosthetic devices, prosthetic dental appliances, hearing aids, 
spectacles, orthopedic footwear, and orthopedic appliances. These items 
will be furnished--
    (1) By Army medical facilities. (i) When required in the course of 
treatment of a disease or injury contracted or incurred in line of duty.
    (ii) When required to replace items that have been lost, damaged, or 
destroyed while engaged in training under sections 502-505 of title 32, 
U.S.C., not the result of negligence or misconduct of the individual 
concerned.
    (2) By civilian sources. (i) Under the circumstances enumerated in 
paragraph (c)(1)(i) of this section, after approval of the United States 
Property and Fiscal Officer's (USPFO) of the respective States.
    (ii) Under the circumstances enumerated in paragraph (c)(1)(ii) of 
this section, in the case of prosthetic devices, prosthetic dental 
appliances, hearing aids, orthopedic footwear, and orthopedic appliances 
when the unit commander determines that:
    (A) Member is far removed from a Federal medical treatment facility.
    (B) Lack of such device would interfere with the individual's 
performance of duty as a member of the ARNG.
    (C) Approval must be obtained from the USPFO's of the respective 
States prior to replacement.
    (iii) Under the circumstances enumerated in paragraph (c)(1)(ii) of 
this section, in the case of spectacles upon a determination by the unit 
commander that:
    (A) The member is far removed from military medical treatment 
facility.
    (B) The member has no other serviceable spectacles.
    (C) Lack of a suitable pair of spectacles would interfere with the 
member's performance of duty as a member of the ARNG.
    (D) Charges for replacement of spectacles will not exceed the rates 
stated in AR 40-330. Charges for replacement or repair by civilian 
sources over and above the allowable rates will be paid from the 
individual's personal funds.
    (E) In cases covered by paragraphs (c)(2) (ii) and (iii) of this 
section, the unit commander will furnish a statement to support the 
voucher as follows:

    Statement

    Name------------, Rank------------, SSN------------, --------------
----------, ------------, while engaged in training under section *(502 
*(503) *(504) *(505) of title 32, United States Code sustained the 
*(loss) *(damage) *(destruction) of his/her spectacles ----------------
--------, description of loss, damage or destruction (type of lens and 
frames) not the result of misconduct or negligence on his/her part. The 
*(repair) *(replacement) would interfere with his/her performance of 
duty as a member of the Army National Guard. Date,------------, 
signature of unit commander------------.

    *Indicate applicable portions.

    (F) Approval must be obtained from the USPFO of the respective State 
prior to repair or replacement of spectacles.

(32 U.S.C. 318-320 and 502-505)



Sec. 564.38  For whom authorized.

    (a) In line of duty. Medical care is authorized for members who 
incur a disease or injury in line of duty under the following 
circumstances:
    (1) When a disease is contracted or injury is incurred while enroute 
to, from, or during any type of training or duty under sections 503, 
504, 505, and for Guardmembers on orders for over 30 days performing 
duty under section 502f of title 32, U.S.C. Such training includes, but 
is not limited to annual training, maneuvers and field exercises, 
service schools, small arms meets, and FTTD under aforementioned 
sections.
    (2) When an injury is incurred while engaged in any type of training 
under section 502 of title 32, U.S.C. Such training includes, but is not 
limited to, unit training assembly, multiple unit training assembly, and 
training in aerial flight, other than FTTD under 502f.
    (3) While not on duty and while voluntarily participating in aerial 
flights in Government-owned aircraft under proper authority and incident 
to training. Guardmembers are authorized medical and dental care 
required as the

[[Page 348]]

result of an injury incurred in line of duty.
    (4) Medical care is not authorized at Army expense for members who 
incur an injury while enroute to or from any type of training under 
section 502, except for Guardmembers ordered to perform duty for over 30 
days under section 502f of title 32, U.S.C. Line of duty investigations 
and authorization for any medical treatment for conditions incurred 
while the members were performing Reserve Enlistment Program of 1963 
(REP 63) training in a Federal status, or training under title 10, 
U.S.C. are the responsibility of the Army Area commander under whose 
jurisdiction the member was training, even though the individual may 
have returned to his/her National Guard status.
    (b) Not in line of duty. Members who incur an injury or contract a 
disease during any type of training or duty under sections 502f, 503, 
504, or 505 of title 32, U.S.C., when it is determined to be not in line 
of duty, may be furnished medical care at Army expense during the period 
of training.
    (c) Armory drill status. Members who incur an injury while in an 
armory drill status under section 502 of title 32, U.S.C., when it is 
determined to be not in line of duty, may not be furnished medical care 
at Army expense.

(32 U.S.C. 318-320 and 502-505)



Sec. 564.39  Medical care benefits.

    (a) A member of the ARNG who incurs a disease or injury under the 
conditions enumerated herein is entitled to medical care, in a hospital 
or at his/her home, appropriate for the treatment of his/her disease or 
injury until the resulting disability cannot be materially improved by 
further medical care.
    (b) If it is determined that the disease or injury was directly 
related to authorized activities surrounding the care of the original 
disease or injury, medical care may be continued in the same manner as 
if it had occurred during the training period.
    (c) When members who incur a disease or an injury during a period of 
training or duty under title 32, U.S.C. 503, 504, 505, or 502f are 
admitted to an Army medical treatment facility, and it appears that a 
finding of ``not in line of duty'' may be appropriate, a formal line of 
duty investigation should be promptly conducted, and a copy of the 
report furnished the treatment facility. If these findings result in a 
``not in line of duty'' determination prior to the date the training is 
terminated, every effort should be made to assist the hospital concerned 
in disposing of the patient from the hospital by the date the training 
is terminated or as soon thereafter as he/she becomes transportable. 
Medical care furnished such member after the termination of the period 
of training is not authorized at Army expense unless the ``not in line 
of duty'' determination is ultimately reversed. The individual may be 
furnished medical care at Army expense from the date the training is 
terminated to the date the member receives notification of this action. 
Medical care received subsequent to the member's receipt of such 
notification is not authorized at Army expense. In the event a line of 
duty investigation has not been made by the date the training is 
terminated, every effort will be made to arrive at a determination as 
soon thereafter as possible.

(32 U.S.C. 318-320 and 502-505)



Sec. 564.40  Procedures for obtaining medical care.

    (a) When a member of the ARNG incurs a disease or an injury, while 
performing training duty under sections 502-505 of title 32, U.S.C., he/
she will, without delay, report the fact to his/her unit commander. Each 
member will be informed that it is his/her responsibility to comply with 
these instructions, and that failure to promptly report the occurrence 
of a disease or injury may result in the loss of medical benefits.
    (b) Authorization for care in civilian facility. (1) An individual 
who desires medical or dental care in civilian medical treatment 
facilities at Federal expense is not authorized such care without 
written or verbal authorization by the Chief, National Guard Bureau or 
his/her designee, except in an emergency.
    (2) When medical care is obtained without prior authorization, the 
details will be submitted to NGB-ARS as

[[Page 349]]

soon as practicable. The notification of medical care will be made 
following the format in the appendix. The notification will be reviewed 
by NGB-ARS and replied to as deemed appropriate.
    (c) Status while undergoing hospitalization. The ARNG status of an 
individual is not affected by virtue of his hospitalization. The 
provisions of AR 135-200 will apply. Determination of requirement for 
continued hospitalization will be made by the MTF commander. Paragraph 
(d) of this section will apply when a final ``not in line of duty'' 
determination has been made. Under no condition will an individual be 
assigned to the medical holding unit of a hospital.
    (d) Disposition of hospitalized cases. When it is determined that a 
hospitalized ARNG member has obtained the maximum benefits from 
hospitalization and there is no disability remaining from the condition 
for which hospitalized, he/she will be returned to his/her duty station 
or, if none, to his/her home of record at the time of entry into the 
hospital.

                                Appendix

                         notification of injury

    Date ------------

SUBJECT: Notification of Medical Care and/or Hospitalized Beyond the End 
of Training Periods.

THRU: The Adjutant General State of --------.
TO: NGB-ARS, Washington, DC 20310.

    In accordance with paragraph 8, NGR 40-3, notification of medical 
care is furnished below:
Name:___________________________________________________________________
SSN:____________________________________________________________________
Grade:__________________________________________________________________
Parent unit and station:________________________________________________
Type and inclusive dates of training:___________________________________
Date and place of incident:_____________________________________________
Diagnosis:______________________________________________________________
LOD status:_____________________________________________________________
Name and distance of nearest Federal medical facility:__________________
Name and address of medical facilities utilized:________________________
Estimated cost and duration of treatment:_______________________________
Summary of incident:____________________________________________________
________________________________________________________________________

(32 U.S.C. 318-320 and 502-505)



Sec. 564.41  Burial.

    (a) Purpose. The purpose of this section is to provide policies and 
designate responsibilities for the care and disposition of remains of 
members of the Army National Guard entitled to burial at Federal 
expense.
    (b) Authority. Act of 10 August 1956 (70A Stat. 112) as amended, 
title 10 U.S.C., sections 1481 through 1488, applicable to military 
personnel and their dependents.
    (c) Policy. The provisions of AR 638-40 are applicable to battalion 
and higher level units of the Army National Guard, except as modified 
herein.
    (d) Responsibilities. (1) The Chief, National Guard Bureau is 
responsible for prescribing procedures for the care and disposition of 
remains of members of the ARNG who die while--
    (i) Performing full-time training at other than an Active Army 
installation under sections 316, 502, 503, 504, and 505, title 32, 
U.S.C.
    (ii) Performing authorized travel to or from training outlined in 
paragraph (d)(1)(i) of this section.
    (iii) Being hospitalized or undergoing treatment at Government 
expense for an injury incurred or disease contracted while performing 
duty indicated in paragraphs (d)(1) (i) and (ii) of this section.
    (iv) Performing inactive duty training (IDT) under section 502, 
title 32, U.S.C. (It is to be noted that present law does not provide 
for payment of burial expenses from Federal funds for ARNG personnel 
killed while traveling to or from IDT.)
    (2) Active Army installations are responsible for the care and 
disposition of remains of members of the National Guard who die while--
    (i) Performing active duty for training under title 10 and training 
or other full-time training duty at an Active Army installation under 
sections 502, 503, 504, and 505, title 32, U.S.C.
    (ii) Performing authorized travel to or from training specified in 
paragraph (d)(2)(i) of this section.
    (iii) Being hospitalized or receiving treatment at Government 
expense as a result of injury incurred or disease contracted while 
performing duty indicated in paragraphs (d)(2) (i) and (ii) of this 
section.
    (3) State adjutants general are responsible for notification of 
death in accordance with chapter 10, AR 600-10.

[[Page 350]]

    (e) Limitation of burial expense. Payment of burial expenses is 
limited to an amount not exceeding that allowed by the Government for 
such services and in no circumstances may payment exceed the amount 
actually expended. The amount allowed when relatives incur the expenses 
will be in accordance with the following limitation:
    (1) If death occurs where a properly approved Contract for Care of 
Remains is in force (Army, Navy, or Air Force contracts), the amount to 
be allowed for each item will not exceed the amount allowable under such 
contract.
    (2) If death occurs where no contract is in force, reimbursement for 
items or services, including preparation and casketing will be limited 
to the stipulated amount included in chapter 4, AR 638-40.
    (3) Reimbursement for transportation will be limited to the amount 
for which the Government could have obtained required common carrier 
transportation plus the change made for hearse servce from the common 
carrier terminal to the first place of delivery.
    (4) Reimbursement for interment expenses is limited to the amounts 
provided in chapter 13, AR 638-40.
    (f) Accountability for clothing. (1) If in a serviceable condition, 
the uniform in possession of the deceased will be used and 
accountability dropped in accordance with NGR 710-2.
    (2) If a serviceable uniform is not in possession of the deceased, a 
request for issue of required items will be prepared. Accountability and 
responsibility for items issued will be terminated by the responsible 
officer upon execution of a statement on DA Form 3078 or 3345, 
substantially as follows:

    The items of clothing enumerated above were issued to clothe the 
remains of ---------- for funeral purposes. At the time of his/her 
death, the deceased was a member in good standing in this organization.

    (g) ARNG personnel serving in a nonpay status. In accordance with 
title 32, U.S.C. section 503, a member may, with his/her consent, either 
with or without pay, be ordered to perform training or other duty in 
addition to that prescribed under title 32, U.S.C. section 502(a). Duty 
without pay will be considered for all purposes as if it were duty with 
pay.

[44 FR 18489, Mar. 28, 1979]

 Claims for Damages Involving the National Guard and Air National Guard

    Source: Sections 564.51 through 564.58 appear at 19 FR 5168, Aug. 
17, 1954, unless otherwise noted. Redesignated at 26 FR 12767, Dec. 30, 
1961.



Sec. 564.51  Purpose.

    Sections 564.51 to 564.58 are published for the information and 
guidance of all concerned to implement the statutory authority by 
defining the claims payable thereunder and the procedure for 
establishing, determining, and settling such claims. They provide the 
exclusive authorization and procedure for the determination and 
settlement of claims within the following statutory authority.



Sec. 564.52  Statutory authority.

    (a) Limited authority for the payment of claims arising out of 
National Guard and Air National Guard activities has been granted 
annually for several years by provisions of the annual Appropriations 
Act for the Department of Defense. A recent provision is as follows:

    The following sums are appropriated, * * * For payment of * * *; 
claims (not to exceed $1,000 in any one case) for damages to or loss of 
private property incident to the operation of Army and Air National 
Guard camps of instruction, either during the stay of units of said 
organizations at such camps or while en route thereto or therefrom; * * 
* (Act of August 1, 1953, Public Law 179, 83d Cong.).

    (b) In accordance with general principles of law, the National Guard 
and the Air National Guard when not in Federal service are not agencies 
of the United States, and the United States is not liable for injury or 
damage arising from their activities. Thus, claims for such injury or 
damage are not cognizable under the Federal Tort Claims Act, as revised 
and codified (62 Stat. 982, 28 U.S.C. 3671-80). By the statutory 
provisions referred to in paragraph (a)

[[Page 351]]

of this section, the United States assumes an obligation to settle 
administratively limited classes of claims relating to activities of the 
National Guard and the Air National Guard.



Sec. 564.53  Definitions.

    As used in Sec. Sec. 564.51 to 564.58, the following terms shall 
have the meaning hereinafter set forth:
    (a) Claim. A written demand for payment in money.
    (b) Private property. Real or personal property, excluding property 
owned by any government entity, Federal, State, city, county, or town, 
and excluding stocks, bonds, chose in action, debts, and insurance 
policies.
    (c) Camps of instruction. Regularly scheduled training for units in 
organized camps, or bivouacs and maneuvers away from such camps 
constituting part of such training.
    (d) While en route thereto or therefrom. The period of time during 
which a unit as distinguished from its individual members if travelling 
from its rendezvous to a camp of instruction or return, or from the camp 
of instruction or on a regularly scheduled maneuver and return thereto, 
and the routes followed by the unit. The term does not include the 
movement of individuals.
    (e) Proximate cause. No precise definition of this term can be 
given. Whether acts or omissions of personnel constitute proximate cause 
must be determined in accordance with the local law. In general, an act 
or omission may be said to have been a proximate cause of the accident 
or incident if it was one of the impelling forces resulting in the 
accident or incident. For example, in a rear-end collision, the failure 
of the driver of the following car to stop in time is said to be the 
proximate cause of the accident. But, if the driver of the leading car 
stopped so suddenly and without warning that the second car, using the 
utmost diligence, could not have stopped, the conduct of the driver of 
the leading car would be said to have been the proximate cause of the 
accident. An act or omission without the existence of which the accident 
or incident would not have occurred but which cannot be said to have 
brought it about is a condition and would not constitute a basis for 
liability, or, if committed by the claimant, would not constitute a 
basis for denial of his claim. For example, violations of statutes or 
ordinances providing standards of safety may be negligence in 
themselves, but may not constitute the bases of liability or for denial 
of a claim.
    (f) Scope of employment. Scope of employment is determined in 
accordance with the law of the place where the accident or incident 
occurred, except that statutes in derogation of the common law, such as 
statutes creating a presumption that an employee is in scope of 
employment if using the employer's car with permission, are not 
controlling. An act or omission is within the scope of employment if 
such activity is expressly or impliedly directed or authorized by 
competent authority or is at least in part intended to further the 
mission of the unit or organization, or the interests of the National 
Guard or the Air National Guard. In determining whether an act or 
omission was within the scope of employment, consideration must be given 
to all the attendant facts and circumstances, including the time, place, 
and purpose thereof; whether it was in furtherance of the omission of 
the unit of the National Guard or Air National Guard; whether it was 
usual for or reasonably to be expected of personnel of the 
classification and grade involved; and whether the instrumentality 
causing the damage or injury resulted was property of the National Guard 
or Air National Guard, or of a State or the Federal Government being 
used by the National Guard or Air National Guard.



Sec. 564.54  Claims payable.

    Claims for damage to or loss of private property proximately 
resulting from authorized activities incident to the operation of camps 
of instruction, including maneuvers, field exercises, training of units 
and personnel, movement of vehicles, operation of aircraft, maintenance 
and support of units and personnel, tortious acts or omissions of

[[Page 352]]

military personnel or civilian employees of the National Guard or Air 
National Guard in the scope of employment, and claims arising under a 
contract, executed incident to camps of instruction, even though legally 
enforceable under the express terms of the contract and no other, are 
payable under Sec. Sec. 564.51 to 564.58.



Sec. 564.55  Claims not payable.

    (a) Contributory negligence. Negligence or wrongful act of the 
claimant or of his agent or employee, a proximate cause of the accident 
or incident, bars a claim. The law of the place where the accident or 
incident occurred will be followed in determining whether contributory 
negligence is present but the doctrine of comparative negligence will 
not be applied.
    (b) Personal injury. Claims for personal injury are not cognizable 
under the act of Sec. Sec. 564.51 to 564.58.
    (c) Use and occupancy. Claims for use and occupancy, payment of 
which is governed by the terms of a lease or contract, are not 
cognizable under Sec. Sec. 564.51 to 564.58.



Sec. 564.56  Action by claimant.

    (a) Who may present a claim. A claim for damage to or loss of 
private property may be presented by the owner, or his agent or legal 
representative. The word ``owner'', as so used, includes bailees, 
lessees, mortgagors, conditional vendors, and subrogees, but does not 
include mortgagees, conditional vendors, and others having title for 
purposes of security only. If filed by an agent or legal representative, 
the claim should be filed in the name of the owner, signed by such agent 
or legal representative, showing the title or capacity of the person 
signing, and be accompanied by evidence of the appointment of such 
person as agent, executor, administrator, guardian, or other fiduciary. 
If filed by a corporation the claim should show the title or capacity of 
the officer signing it and be accompanied by evidence of his authority 
to act. In case of the death of the proper claimant, if it appears that 
no legal representative has been or will be appointed, the claim may be 
presented by any person who, by reason of the family relationship, has 
in fact incurred the expense for which the claim is made.
    (b) Form of claim. A claim shall be submitted in the form of a 
statement signed by the claimant, setting forth his address, and stating 
briefly all the facts and circumstances relating to the damage for which 
compensation is claimed, including a description of the property, 
evidence of its value, the nature and extent of the damage, the date and 
place such damage was incurred, the agency by which it was caused, if 
known, and the amount. Standard Form 95 (Claim for Damage or Injury), 
appropriately modified by deleting references to ``injury'' and 
``personal injury,'' may be used for this purpose. The claim and all 
papers accompanying it which are signed by the claimant should bear like 
signatures.
    (c) Time within which claim must be presented. A claim cognizable 
under Sec. Sec. 564.51 to 564.58 must be submitted within two years of 
the date of occurrence of the accident or incident.
    (d) Place of filing. A claim cognizable under Sec. Sec. 564.51 to 
564.58 must be presented in writing to the adjutant general, or his duly 
authorized representative, of the State, Territory, Commonwealth, or 
District of Columbia, having jurisdiction over the personnel or unit 
involved in the accident or incident out of which the claim arose, or to 
the office of the Chief, National Guard Bureau, The Pentagon, 
Washington, DC 20310.
    (e) Evidence to be submitted by claimant--(1) General. A claim for 
damage to or loss of private property must be specific and substantiated 
by evidence of the damage or loss. A mere statement that such property 
was damaged or lost and that a certain amount is a fair compensation 
therefor is not sufficient to support a claim.
    (2) Motor vehicles, buildings, fences, and other structures. The 
claimant must submit, if repairs or replacement has been effected, 
itemized bills therefor, signed and certified as just and correct by the 
repairman or suppliers, together with evidence of payment thereof, if 
made; if repairs or replacement has not been effected, an estimate of 
the cost thereof signed by a person competent to effect such repairs or 
replacement.

[[Page 353]]

    (3) Crops, trees, land, and other realty. The claimant must submit 
an itemized signed estimate of the cost of repairs or restoration of the 
property, supported by evidence of the number of acres of land, crops, 
or trees involved, the normal yield per acre and the market value of the 
property per unit of measure common to the property damaged, or the 
estimated length of time the land will be unfit for grazing, the normal 
rental value per acre of similar land in the vicinity, and such other 
information as may be necessary.
    (4) Contracts. A copy of the contract, or competent evidence of the 
provisions thereof, will be furnished by the claimant in support of a 
claim cognizable under Sec. 564.54.
    (5) Additional evidence. The claims officer, the interested State 
adjutant general, or the Chief National Guard Bureau, may require the 
claimant to submit such additional evidences as he deems necessary to 
substantiate the claim, including, without limiting the generality of 
the foregoing, estimates of cost, of repairs from repairman other than 
those whose estimates the claimant has submitted with the claim and 
evidence of ownership of or interest in the property.



Sec. 564.57  Procedure.

    Responsibility for the investigation of claims cognizable under 
Sec. Sec. 564.51 to 564.68 and of accidents or incidents which may give 
rise to such claims rests in the adjutants general of the several 
States. Accordingly, claims received by the National Guard Bureau, or 
other agencies of the United States, will be referred to the adjutants 
general of the interested States. Regulations promulgated by the State 
adjutants general should require the prompt investigation of all 
accidents or incidents which might result in claims cognizable 
hereunder, whether or not claims have been filed.



Sec. 564.58  Determination of amount allowable.

    (a) The maximum amount which may be allowed is the value of the 
property immediately prior to the accident or incident. Subject to the 
foregoing, the amount allowable is the cost, incurred or estimated to be 
incurred, of replacing the property, or of restoring it to the condition 
in which it was immediately prior to the accident or incident. However, 
if as the result of the repairs effected, the value of the property is 
appreciably enhanced, a sum equal to the increase in value will be 
deducted from the cost of restoring the property in determining the 
amount allowed. Conversely, if after the repairs have been effected, the 
value of the property is appreciably less than that prior to the 
accident or incident, the difference in value will be added to the cost 
of repairs in determining the amount allowed. However, no award in 
excess of the amount claimed may be made.
    (b) In determining the amount allowable for repairs, the permanency 
of parts replaced will be considered and deductions made for 
depreciation as appropriated. Thus, an automobile tire is not expected 
to last through the life of a vehicle so that when a tire three-fourths 
worn is replaced with a new tire, the amount allowable is one-fourth of 
the cost of the new tire. The same principle applies to batteries and 
other items of equipment or accessories during relatively short wearout 
periods. However, no allowance for depreciation is made in replacing 
parts, such as fenders, bumpers, radiators, which normally would last 
through the life of the vehicle.
    (c) Deprivation of use of property (including motor vehicles) is 
allowable as an item of damages, but only in those cases where the 
claimant has sustained legally provable damages. Towing charges are also 
allowable items of damage. However, interest, cost of preparation of 
claim and of securing supporting evidence, inconvenience, and similar 
items are not property allowable items of damage.

[[Page 354]]



                         SUBCHAPTER F_PERSONNEL





PART 571_RECRUITING AND ENLISTMENTS--Table of Contents




Sec.
571.1 General.
571.2 Basic qualifications for enlistment.
571.3 Waivable enlistment criteria including civil offenses.
571.4 Periods of enlistment.
571.5 Enlistment options.

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

    Source: 44 FR 9745, Feb. 15, 1979, unless otherwise noted.



Sec. 571.1  General.

    (a) Purpose. This part gives the qualifications for men and women 
enlisting or reenlisting in the Regular Army (RA). The procedures 
simplify and standardize the processing of applicants through the 
recruiting service. The applicant's ability to meet all requirements or 
exceptions will determine eligibility. This includes obtaining 
prescribed waivers.
    (b) Definitions. The following definitions apply to this part:
    (1) Enlistment. The first voluntary enrollment in the Regular Army 
as an enlisted member.
    (2) Reenlistment. The second or subsequent voluntary enrollment in 
the Regular Army as an enlisted member.
    (3) United States Army. The Regular Army, Army of the United States 
(AUS), Army National Guard (ARNG) of the United States, and the United 
States Army Reserve (USAR).
    (4) Regular Army (RA). The permanent Army, which is a major 
component of the United States Army, as used in this part distinguishes 
it from the other major components.
    (5) Prior Service (PS). One or more days of completed active duty in 
a regular component or of extended active duty in a Reserve component of 
any of the Armed Forces, in the Army National Guard or Army Reserve 
programs of active duty for training pursuant to the Reserve Forces Act 
of 1955; in the Reserve Enlistment Program of 1963; or in similar 
programs of any of the Army Forces. Short periods of active duty for 
training in any other programs will not meet prior service requirements 
in this part.
    (6) Non-Prior Service (NPS). No previous service in any of the Armed 
Forces of the United States, or previous service without completion of 1 
or more days of active duty or active duty for training as given in 
paragraph (b)(5) of this section.
    (7) Within 3 months of separation. The 3 month's period when an 
individual must reenlist to be eligible for certain benefits. This 
period begins on the day following separation and ends with the date of 
the month, 3 months later, that corresponds to the separation date. When 
there is no corresponding date in the 3rd month, the terminating date 
will be the last day of that month. For example, an individual separated 
on 31 January has a terminating date of 30 April.
    (8) Major commanders. The following have commanding generals, United 
States Army Forces Command (FORSCOM); United States Army Training and 
Doctrine Command (TRADOC); US Army Military District of Washington 
(MDW); US Army Materiel Development and Readiness Command (DARCOM); US 
Army Intelligence and Security Command (INSCOM); US Army Communications 
Command (ACCOM); US Army Criminal Investigation Command (CIDC); US Army 
Health Services Command (HSC); Military Traffic Management Command 
(MTMC); Commander in Chief, US Army Europe and Seventh Army 
(CINCUSAREUR): Eighth US Army; and US Army Japan (USAJ).
    (9) Dependent. The term ``dependent'' means:
    (i) A spouse. This does not include a common law spouse unless so 
judged by a civil court.
    (ii) Any unmarried natural (legitmate or illegitimate) or adopted 
child of the applicant if the child is under 18 year of age, whether or 
not the applicant has custody of the child, and regardless of who has 
guardianship of the child. If the applicant's child has been adopted by 
another person (Final adoption decree issued and effective)

[[Page 355]]

then the child is not the applicant's dependent. The term ``natural 
child'' includes any illegitimate child claimed by the applicant to be 
his/her child or judged to be his/her child by court order.
    (iii) Stepchild of the applicant who resides with the applicant if 
the stepchild is under 18 years of age.
    (iv) Any other person who is dependent on the applicant for over 
one-half of his/her support.
    (10) Applicant without a spouse. An applicant who is unmarried, is 
divorced, is legally separated, whose spouse is deceased; has deserted 
applicant, is incarcerated, is not residing permanently with applicant, 
or applicant has sole custody of the dependent(s).
    (c) Delayed Entry Program (DEP). The Commanding General, United 
States Army Recruiting Command (USAREC) is authorized by 10 U.S.C. 5-11a 
to organize and administer DEP. Applicants enlisted in DEP are assigned 
to the United States Army Reserve (USAR) Control Group (Delayed Entry). 
Only qualified applicants who agree to subsequently enlist in the 
Regular Army may enlist in DEP.



Sec. 571.2  Basic qualifications for enlistment.

    (a) Age requirements. (1) Non-prior service. Applicants must be 17 
to 34 years old, inclusive.
    (2) Prior service. Applicants must be 17 to 34 years old. If 35 or 
older but less than 55 years, they will qualify if they:
    (i) Have a minimum of 3 years honorable active service in any one of 
the Armed Forces, with at least 1 or more days of Army service.
    (ii) Be not less than 35 years old plus the number of completed 
years of prior honorable active military service.
    (3) Exceptions. Applicants will be exempt from the above age 
requirements if they can qualify for retirement by age 60, are not 55 or 
older with 20 or more years of active service, and if they are:
    (i) Honorably discharged active duty commissioned or warrant 
officers who enlist within 6 months after their separation date or who 
were awarded the Medal of Honor, Silver Star, or the Distinguished 
Service Cross.
    (ii) Enlisted members who separate from the Regular Army with an 
honorable or general discharge and reenlist within 3 months after 
separation date.
    (4) Parental consent. The written consent of parents or legal 
guardian is required for applicants under 18 years of age.
    (b) Citizenship requirements. The applicant must be:
    (1) A citizen of the United States, or
    (2) An alien who has been lawfully admitted to the United States as 
a permanent resident, or
    (3) A National of the United States (Citizen of Puerto Rico, Guam, 
American Samoa or the Virgin Islands).
    (c) Trainability requirements. (1) Non-prior service. For enlistment 
in mental group category I-III applicants must have a high school 
diploma (HSD) or General Education Development (GED) Certificate. HSD or 
GED scores must be 90 or above in one or more aptitude areas in Armed 
Services Vocational Aptitude Battery (ASVAB) tests. Mental group IV 
requires two. Non-high-school graduates (NHSG) in mental group I-IIIA 
require two. Applicants must meet all other criteria for the option they 
wish to select. (See Sec. 571.2(c)(3).)
    (2) Prior service. Applicants must meet the mental requirements in 
paragraph (c)(3) of this section, or qualify for exemption from these 
requirements through:
    (i) Award of the Medal of Honor.
    (ii) Award of the Distinguished Service Cross, Navy Cross, or Silver 
Star Medal, with less than 20 years of active military service.
    (iii) Partially disabling combat-wounds with less than 20 years of 
active military service.
    (3) Mental categories and eligibility for enlistment.

[[Page 356]]



--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Enlistment eligibility \3\
            Applicant                    Age       Education    Mental category \2\   -------------------------------               Remarks
                                                   level \1\                                DEP             RA
--------------------------------------------------------------------------------------------------------------------------------------------------------
NPS--male........................  17............       HSG   I-IVB..................  Yes..........  Yes...........  10th grade minimum unless over 22
                                                        GED   I-IIIA.................  Yes..........  No............   years old, then 11th grade
                                                        GED   IIIB-IV................                 Yes...........   minimum.
                                                                                                      No............
                                                       NHSG   I-IIIA.................  Yes..........  Yes...........
                                                       NHSG   IIIB-IV................  No...........  No............  Eligible for RA if graduates. If
                                                       HSSR   I-IVB..................  Yes..........  (See remarks).   NHSG, meet criteria of this
                                                                                                                       table.
NPS--male........................  18 or older...       HSG   I-IVB..................  Yes..........  Yes...........  10th grade minimum unless over 22
                                                        GED   I-IIIB.................  Yes..........  Yes...........   years old, then 11th grade
                                                        GED   IV.....................  No...........  No............   minimum.
                                                       NHSG   I-IIIA.................  Yes..........  Yes...........
                                                       NHSG   IIIB...................  Yes..........  Yes...........  11th grade minimum regardless of
                                                       NHSG   IV.....................  No...........  No............   age.
                                                       HSSR   I-IVB..................  Yes..........  (See Remarks).  Eligible for RA if graduates. If
                                                                                                                       NHSG, meet criteria of this
                                                                                                                       table.
NPS--female......................  ..............       HSG   WST 50 or higher.......  Yes..........  Yes...........  Eligible for RA if graduates.
                                                        GED   .......................  No...........  No............
                                                       NHSG   .......................  No...........  No............
                                                       HSSR   .......................  Yes..........  Yes...........
Prior service--male..............  ..............       HSG   I-IIIB and three         Yes..........  Yes...........
                                                        GED    aptitude scores of 90   Yes..........  Yes...........
                                                       NHSG    or higher.              No...........  No............
Prior service--female............  ..............       HSG   Three aptitude scores    Yes..........  Yes...........  If female is a member of USAR/ARNG
                                                        GED    of 90 or higher.        Yes..........  Yes...........   prior to RA enlistment, a minimum
                                                       NHSG                            No...........  No............   Womens Selection Test (WST) score
                                                                                                                       of 50 is required in addition to
                                                                                                                       3 aptitude scores of 90 or
                                                                                                                       higher.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Education definitions:
a. High school graduate (HSG). An applicant who has graduated from an accredited high school with a diploma, a certificate of graduation, or statement
  of completion.
b. General Education Development (GED) equivalency. An applicant who has evidence of completion of the high school level GED equivalency.
c. Non-high school graduate (NHSG) and high school senior (HSSR). Self explanatory.
\2\ CAT I 93-100, CAT II 65-92, CAT IIIA 50-64, CAT IIIB 31-49, CAT IVA 21-30, CAT IVB 16-20.
\3\ Applicants must meet the additional prerequisites for training in the selected military occupational specialty (MOS) as indicated by the option and
  REQUEST System.

    (d) Education requirement. (1) Applicants must meet the following 
educational requirements of the specific enlistment option.
    (i) Female applicants must be high school graduates.
    (ii) Male applicants, 17-22 years of age, must have successfully 
completed the 10th grade or equivalent. Males, 23 or older at time of 
entry on active duty, must have successfully completed the 11th grade or 
equivalent.
    (iii) Aliens or applicants completing high school requirements in 
foreign countries must take the GED or have obtained an evaluation in 
accordance with table 2-5, note 5d, AR 601-210 to be considered a high 
school graduate for enlistment purposes.
    (iv) Minimum education requirements, in a foreign country, given in 
paragraph (d)(1)(iii) of this section are the same in the United States.
    (2) Prior service applicant must either:
    (i) Possess a diploma or certificate of graduation from high school; 
or
    (ii) Present documentation of successful completion of high school 
level or higher GED equivalency.
    (e) Physical requirements. (1) The applicant must:
    (i) Meet the enlistment physical fitness standards given in chapter 
2, AR 40-501.
    (ii) Meet any additional requirement of the specific enlistment 
option.
    (iii) Request a waiver if the AFEES medical examining officer 
decides an exception to medical standards is appropriate.
    (2) Prior service applicants must meet the weight standards in 
appendix A, AR 600-9 and

[[Page 357]]

    (i) The retention medical fitness standards in chapter 3, AR 40-501, 
if applicant enlists within 6 months of RA separation.
    (ii) The enlistment medical fitness standards in chapter 2, AR 40-
501 (except the weight standards of paragraph 2-22, AR 40-501) if 
applicants enlist 6 months from the last RA separation date, or if 
applicants last separated from another service or component and meets 
the weight tables in appendix A, AR 600-9.
    (iii) The retention medical fitness standards in chapter 3, AR 40-
501 if applicant is an active member of USAR/ARNG unit and meets the 
weight tables at appendix A, AR 600-9.
    (iv) Any additional requirements for the specific enlistment option.
    (f) Dependent criteria. (1) The applicant may have only three 
dependents (see paragraphs (f)(1) and (iii) of this section).
    (i) An applicant without a spouse who has one or more dependents 
under 18 years of age is disqualified, except as noted in paragraphs 
(f)(1) (ii) and (iii) of this section. No waiver is authorized.
    (ii) An applicant may be enlisted when dependent children are in the 
custody of the other parent by court order, and the applicant is not 
required to provide child support. No waiver is required.
    (iii) An applicant, required to pay child support for no more than 2 
dependents under 18 years of age when dependents are in the other 
parent's custody by court order, may enlist without waiver.
    (iv) In meritorious cases, an applicant with a spouse may request 
waiver of paragraph (f)(1) of this section.
    (v) Husband and wife teams who have one or more dependents under 18 
years of age are disqualified. No waiver is authorized.
    (vi) An applicant with a spouse on active duty with any Service who 
has 1 or more dependents under 18 years of age is disqualified.
    (2) Prior service. Same as non-prior service for pay grades E-1 
through E-3. If eligible for pay grade E-4 or higher, may enlist without 
regard to number and ages of dependents. However, the provisions of 
paragraphs (f) (i), (ii), (iii), (v), and (vi) of this part for 
applicants without prior service apply.



Sec. 571.3  Waivable enlistment criteria including civil offenses.

    (a) Waivers of enlistment eligibility criteria--(1) General. This 
section gives the procedures for initiating and processing requests for 
waiver to meet the basic qualifications for enlistment.
    (2) All waiver authority. The Commander, U.S. Army Enlistment 
Eligibility Activity (USAEEA) may act for the Commanding General, U.S. 
Army Military Personnel Center (MILPERCEN) to process, approve and 
disapprove waivers for enlistment.
    (3) Waiver disapproval authority. The responsibility for deciding if 
a waiver request warrants favorable consideration rests at all levels.
    (4) Validity period. Unless otherwise stated in the waiver document, 
waivers are valid for 6 months.
    (5) Waiver approval authorities--eligibility criteria.

------------------------------------------------------------------------
         If disqualification is--           Then approval authority is--
------------------------------------------------------------------------
(i) Medical:
  Non-prior service.......................  CG, USAREC
  Prior service...........................  CG, MILPERCEN
(ii) Underweight or overweight (+ or -5
 lbs.):
  Non-prior service.......................  AFEES Senior Medical Officer
  Prior service...........................  None. Prior service
                                             applicants enlisting in DEP
                                             or active Army must meet
                                             the AR 600-9 weight
                                             standards. No waivers are
                                             authorized.
(iii) Dependents..........................  CG, MILPERCEN
(iv) AWOL:
  Lost time 1-15 days.....................  CDR, District Recruiting
                                             Command (DRC)
  Lost time over 15 days..................  CG, MILPERCEN
(v) Previous discharge for dependency or    CG, MILPERCEN
 hardship.
(vi) Last separated from any of the Armed   CG, USAREC
 Forces on the basis of being a sole
 surviving person and family member or
 applying for enlistment for the first
 time.

[[Page 358]]

 
(vii) Previous conscientious objectors who
 are no longer conscientious objectors:
  Non-prior service.......................  CG, USAREC
  Prior service...........................  CG, MILPERCEN
(viii) Received one or more convictions by  CG, MILPERCEN
 military courts-martial during last
 period of active service or was
 discharged with disqualifications (e.g.,
 unsuitability, conviction by civil court,
 resignation for good of Service,
 misconduct, fraudulent enlistment, or bar
 to reenlistment).
(ix) Desires to enlist as conscientious
 objector:
  Non-prior service.......................  CG, USAREC
  Prior service...........................  CG, MILPERCEN
(x) Was denied reenlistment at time of      CG, MILPERCEN
 last separation from active Service under
 Qualitative Screening Process unless
 ineligible for enlistment.
(xi) Discharged under the Trainee           CG, MILPERCEN
 Discharge program or Expeditious
 Discharge program.
(xii) Primary Military Occupational         CG, MILPERCEN
 Specialty (PMOS) Evaluation Score below
 70.
(xiii) Persons whose DD Form 214 (Report    CG, MILPERCEN (Year Group
 of Separation from Active Duty) contains    Management)
 no PMOS evaluation score.
(xiv) Persons enrolled in the Alcohol and   CG, MILPERCEN
 Drug Abuse Prevention and Control Program
 (ADAPCP) at time of last separation from
 active duty.
------------------------------------------------------------------------

    (b) Civil offenses--(1) Moral standards. Moral standards for 
enlistment deal generally with the acceptability of persons with records 
of court convictions or adverse juvenile judgments. The standards screen 
out persons who may become serious disciplinary cases and who could 
bring harm to a military mission.
    (2) Waiver approval authorities--civil offenses.

------------------------------------------------------------------------
            If the offense is--             Then approval authority is--
------------------------------------------------------------------------
(i) Minor traffic offenses................  CDR, Recruiting Area
(ii) Minor non-traffic offenses...........  CDR, Recruiting Area
(iii) Misdemeanors........................  CDR, DRC
(iv) Juvenile felonies....................  CG, USAREC
(v) Adult felonies........................  CG, MILPERCEN
(vi) Civil restraint of unconditional       CDRs in lines (i) through
 suspended sentence or unconditional.        (v) for the offenses
                                             involved
------------------------------------------------------------------------

    (c) Rules governing processing of moral waivers. (1) Individuals 
require a misdemeanor waiver if arrested, cited, charged, or held and 
allowed to plead guilty to a lesser offense or to plead guilty to 
criminal possession of stolen property (value $100 or less). An arrest 
or questioning with no preferral of charges does not require a waiver. 
When charges are dismissed without

[[Page 359]]

determination of guilt no waiver is required. A waiver is not authorized 
if a criminal or juvenile court charge is pending or if such a charge 
was dismissed or dropped at any stage of the court proceedings on 
condition that the offender enlist in a military service.
    (2) To ensure equal treatment of all persons applying for RA 
enlistment, notwithstanding the wide variance in State statutes, the 
following guidance is furnished:
    (i) Expunging of the record. Some states have procedures for 
(subsequent) ``expunging of the record,'' dismissal of charges, or 
pardon (upon evidence of rehabilitation of the offender). Such action 
has the effect of extinguishing the ``initial conviction'' or ``adverse 
juvenile adjudication.'' Under the State law, the applicant then has no 
record of conviction or adverse juvenile decision. Despite the legal 
effect of this action, a waiver is required to authorize the RA 
enlistment of such an applicant. The record is also required to be 
revealed.
    (ii) Juvenile and youthful offenses. To determine eligibility for RA 
enlistment, a juvenile or youthful offense is defined as one committed 
by the applicant under the age that the individual could enlist in the 
RA without parental consent. Offenses committed below the age of 18 are 
considered juvenile or youthful offenses regardless of disposition of 
civil authorities. For example, a juvenile felony is one committed by an 
applicant under 18, whether or not the result is a civil court 
conviction or adverse juvenile judgements. On the other hand, an adult 
felony is one committed by an applicant when 18 years old or older 
regardless of what type of court makes the decision.
    (iii) Civil court conviction. This term means the decision of guilty 
by a court (or a jury) based either on the case's merits, or on the 
defendant's guilty plea or nolo contendere, regardless of--
    (A) Whether sentence was then imposed, withheld, or suspended, or
    (B) Subsequent proceedings deleted an initial decision of guilt from 
court records, based on evidence of rehabilitation or completion of a 
satisfactory probationary period. Examples of subsequent proceedings in 
adult offender cases include pardon; expungement; reopening of the case 
to change the original finding of guilty or nolo contendere, to not 
guilty, dismissing the charge, amnesty, and setting aside the 
conviction. These subsequent proceedings merely recognize 
rehabilitation, they do not alter the fact that the offender committed 
the criminal act.
    (iv) Adverse juvenile judgements. This term--
    (A) Means that a judge or a jury in a juvenile court proceedings 
determined that the juvenile was guilty of or committed the alleged 
acts, that the decision was based either on the complaint's merits or on 
the juvenile's admission of guilt or plea of guilty; and that the 
decision was recorded in the court records.
    (B) Applies, whether or not sentence was then imposed, withheld, or 
suspended; and regardless of subsequent proceedings to delete an initial 
determination of guilt from court records, based on rehabilitation or 
satisfactory probation or supervision. Examples of subsequent 
proceedings in juvenile courts include expungement; record sealing; 
reopening the case to change the original findings of guilty or 
delinquency, or the plea of guilty or admission of the truth of the 
allegation, to not guilty; and dismissal of the original petition and 
setting aside the decision of delinquency. These subsequent proceedings 
merely recognize rehabilitation. They do not alter the fact that the 
juvenile committed the act for which he or she was judged.
    (C) Includes judgement as a juvenile delinquent, wayward minor, 
youthful offender, delinquent child or juvenile offender, and 
declaration of the juvenile as a ward of the court. The term does not 
include the judgement of the juvenile as dependent, neglected, or 
abandoned.
    (v) Unconditional suspended sentence and supervised unconditional 
probation. These terms mean a suspended sentence or probationary status 
imposed by a court that places no condition upon the individual--
    (A) Concerning individual's freedom of movement.
    (B) Requiring the payment of damages. (If paid, this requirement is 
no bar to waiver consideration.)

[[Page 360]]

    (C) Requiring periodic reporting to an officer of the court 
(including a probation officer).
    (D) Involving supervision by an officer of the court (including a 
probation officer). For example, a sentence suspended on sole condition 
that the offender must not commit a like offense in the next 12 months 
does not bar waiver consideration.
    (vi) For prior service personnel. Although the applicant must reveal 
all offenses committed, only those require a waiver that are committed 
during and/or subsequent to the last period of honorable service, and/or 
those not previously revealed. For Reserve Component personnel of any 
Service, waivers are required for all offenses shown that require a 
waiver, whether or not a waiver was authorized for entry into the 
Reserve Component. Waivers granted to enter the Reserve Components are 
not valid for Regular Army enlistment.
    (d) Waiting period. The waiting period following release from civil 
restraint gives the individual an opportunity to demonstrate a 
satisfactory adjustment and the Army a basis to judge the applicant's 
rehabilitation before enlistment.
    (e) Required investigations. If the applicant does or does not admit 
a record (to include arrests, charges, juvenile court judgments, and 
convictions), and the enlisting agency has reason to believe a record 
exists, enlistment action will be held in abeyance pending an 
investigation.
    (f) Civil restraint. (1) If all civil restraint is ended and there 
is substantial evidence of rehabilitation as a law-abiding member of a 
civil community, the applicant may be processed for enlistment.
    (2) Recruiting personnel will not help directly or indirectly in the 
release of an individual from a pending charge so that he or she may 
enlist in the Army as an alternative to further prosecution or further 
juvenile court proceedings. Equally important, recruiting personnel will 
in no way contribute, either tacitly or expressly, to the false notion 
that the Army condones such a practice. Persons subject to a pending 
charge are not eligible for enlistment. Therefore, they are not eligible 
for preenlistment processing to determine their mental and medical 
eligibility.
    (g) Restrictions on help. Recruitment personnel will not help in any 
way to secure the release of individuals from any type of civil 
restraint so that these individuals may enlist or start reenlistment 
processing. The term ``civil restraint'' includes confinement, 
probation, parole, and suspended sentence. Persons under civil restraint 
that makes them ineligible for enlistment are not eligible for 
preenlistment processing to determine their mental and medical 
eligibility for enlistment.



Sec. 571.4  Periods of enlistment.

    Enlistments are authorized for periods of 2, 3, 4, 5, or 6 years. 
The enlistee's option determines the number of years.



Sec. 571.5  Enlistment options.

    Personnel who enlist in the Regular Army for 2 or more years are 
authorized certain initial assignment choices. They must meet the 
criteria given in AR 601-210. Also, a valid Army requirement must exist 
for the skill under which enlisted.



PART 575_ADMISSION TO THE UNITED STATES MILITARY ACADEMY--Table of Contents




Sec.
575.1 Military Academy.
575.2 Admission; general.
575.3 Appointments; sources of nominations.
575.4 [Reserved]
575.5 Entrance requirements.
575.6 Catalogue, United States Military Academy.

    Authority: Secs. 3012, 4331, 70A Stat. 157, 238; 10 U.S.C. 3012, 
4331-4355.

    Source: 44 FR 11781, Mar. 2, 1979, unless otherwise noted.



Sec. 575.1  Military Academy.

    (a) Organization and administration. (1) The United States Military 
Academy is under the general direction and supervision of the Department 
of the Army. The Secretary of the Army has designated the Chief of Staff 
of the Army as the officer in direct charge of all matters pertaining to 
West Point.

[[Page 361]]

    (2) The immediate government and military command of the Academy and 
the military post at West Point are vested in the Superintendent. In the 
absence of the Superintendent, the Deputy Superintendent, if present for 
duty, shall have such government and command. The Dean of the Academic 
Board has charge of the faculty and all academic work, and acts as 
representative of the academic departments and as adviser on academic 
matters to the Superintendent. The Commandant of Cadets is in charge of 
the administration and training of the Corps of Cadets and is also head 
of the Department of Tactics.
    (b) Mission. The mission of the United States Military Academy is to 
educate, train, and motivate the Corps of Cadets so that each graduate 
shall have the character, leadership, and other attributes essential to 
progressive and continuing development throughout a career of exemplary 
service to the Nation as an officer of the Regular Army.
    (c) Courses of instruction. Courses include academic education and 
military training. In accomplishing its mission, the Military Academy 
strives to develop in each cadet the following traits:
    (1) The knowledge, skill, intellectual curiosity, discipline, and 
motivation provided by a sound education in the arts and sciences 
requisite for continued professional and intellectual growth.
    (2) A highly developed sense of personal honor and professional 
ethics.
    (3) Professional and personal commitment to the responsibilities of 
an officer for soldiers.
    (4) Selflessness.
    (5) The willing acceptance of responsibility for personal actions 
and the actions of subordinates.
    (6) The initiative and good judgment to take appropriate action in 
the absence of instructions or supervision.
    (7) Physical and moral courage.
    (8) The physical strength, endurance, and conditioning habits 
required of a soldier.



Sec. 575.2  Admission; general.

    (a) In one major respect, the requirements for admission to the 
United States Military Academy differ from the normal requirements for 
admission to a civilian college or university; each candidate must 
obtain an official nomination to the Academy. The young person 
interested in going to West Point should, therefore, apply for a 
nomination from one of the persons authorized to make nominations listed 
in Sec. 575.4. In the application, each prospective candidate should 
request a nomination to the United States Military Academy, and give 
residence, reasons for wanting to enter the Academy, and status of 
education and training.
    (b) A candidate's mental qualifications for admission are determined 
by performance on one of the regularly administered College Entrance 
Examination Board series of tests. The Military Academy will consider 
scores made on the tests which are offered in December, January, March, 
and May at more than 700 College Board Test Centers throughout the 
United States and abroad. In general, a center will be within 75 miles 
of the candidate's home. Candidates register for the prescribed tests in 
accordance with the regularly published instructions of the College 
Board and pay the required fee directly to the College Board.
    (c) The candidate's physical qualifications are determined by a 
thorough medical examination and physical aptitude test. To qualify, a 
candidate must be in good health, have good vision and hearing, have no 
deformities, and have the physical strength, endurance, coordination, 
and agility of active persons in their late teens. The medical 
examination and physical aptitude tests are held at selected military 
installations throughout the country (and overseas) on the Thursday and 
Friday preceding the regularly scheduled March administration of the 
College Board tests.



Sec. 575.3  Appointments; sources of nominations.

    Admission to the Military Academy is gained by appointment to one of 
the cadetships authorized by law. Graduation of the senior class 
normally leaves about 915 vacancies each year. Candidates are nominated 
to qualify for these vacancies the year prior to admission. Those 
nominees appointed enter the Academy the following July

[[Page 362]]

and upon graduation are obligated to serve in the Army for a period of 
not less than 5 years. There are two major categories of nomination 
(Congressional/Gubernatorial and Service-Connected) and two minor 
categories (Filipino and Foreign Cadets). Cadetships authorized at the 
Military Academy are allocated among various sources of nominations from 
the major categories as follows:

------------------------------------------------------------------------
                                                              Cadets at
                                                             the Academy
                Congressional/Gubernatorial                   at any one
                                                                 time
------------------------------------------------------------------------
Vice President.............................................            5
100 Senators (5 each)......................................          500
435 Representatives (5 each)...............................        2,175
Delegates in Congress from:
  District of Columbia.....................................            5
  Virgin Islands...........................................            1
  Guam.....................................................            1
Governor/Residential Commissioner of Puerto Rico...........            6
Governors of:
  Canal Zone...............................................            1
  American Samoa...........................................            1
------------------------------------------------------------------------


------------------------------------------------------------------------
                                                               Annually
                     Service-Connected                        Allocated
                                                              Cadetships
------------------------------------------------------------------------
Presidential...............................................          100
Enlisted Members of the Regular Army.......................           85
Enlisted Members of the Army Reserve/National Guard........           85
Sons and Daughters of Deceased and Disabled Veterans                  10
 (approximately)...........................................
Honor Military, Naval Schools and ROTC.....................           20
Sons and Daughters of persons Awarded the Medal of Honor...    Unlimited
------------------------------------------------------------------------

    (a) Congressional / Gubernatorial Nomination. (1) Up to 10 
nominations may be submitted for each vacancy. Nominating authorities 
may use one of three methods of nomination:
    (i) Name 10 nominees on a totally competitive basis,
    (ii) Name a principal nominee, with nine competing alternates, or
    (iii) Name a principal nominee, with nine alternates in order of 
preference.
    (2) The priority that a fully qualified candidate may receive when 
considered for appointment is actually governed by the method of 
nomination used. For example, a principal nominee who is found minimally 
qualified must be offered an appointment. Conversely, the same 
individual nominated on a totally competitive basis, may be ranked as 
one of the least qualified nominees for that vacancy and, consequently, 
may not be offered an appointment. Many nominating authorities hold 
preliminary competitive nomination examinations to select their 
nominees. Those selected are required to be actual residents of the 
geographic location represented by the nominating authority.
    (b) Service-connected nominations. There is no restriction on the 
residence of nominees who compete for an appointment under these quotas. 
All applications for a service-connected nomination must be submitted to 
the Superintendent, United States Military Academy, West Point, NY 
10996, not later than 15 December for the class entering the following 
July. A description of the Service-Connected nomination categories 
follows:
    (1) Presidential: Children of career military personnel in the Armed 
Forces who are on active duty, retired, or deceased, are nominated 
through this category. The term ``career'' includes members of the 
Reserve Components currently serving 8 or more years of continuous 
active duty and Reserve retirees receiving either retired or retainer 
pay. Children of reservists retired while not on active duty are 
ineligible. Applications should include the name, grade, social security 
number/service number, and branch of service of the parent as a member 
of such regular component, and the full name, address, and date of birth 
of the applicant (complete military address and social security number, 
if in the Armed Forces). Adopted children are eligible for appointment 
if they were adopted prior to their 15th birthday; a copy of the order 
of court decreeing adoption, duly certified by the clerk of the court, 
must accompany the application.
    (2) Children of Deceased and Disabled Veterans: This category is for 
children of deceased or 100 percent disabled Armed Forces veterans whose 
deaths or disabilities were determined to be service-connected, and for 
children of military personnel or federally employed civilians who are 
in a missing or captured status. Candidates holding a nomination under 
this category are not eligible for nomination under the Presidential or 
Medal of Honor category. The Veterans Administration determines the 
eligibility of all applicants. The application should include the full 
name, date of birth, and address of the

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applicant (complete service address should be given if the applicant is 
in the Armed Forces), and the name, grade, social security number/
service number, and last organization of the veteran parent, together 
with a brief statement concerning the time, place, and cause of death. 
The claim number assigned to the veteran parent's case by the Veterans 
Administration should also be furnished.
    (3) Children of Persons Awarded the Medal of Honor: Applications 
from children of persons awarded the Medal of Honor should contain the 
applicant's full name, address, and date of birth (complete service 
address should be given if the applicant is in the Armed Forces); the 
name, grade, and branch of service of the parent; and a brief statement 
of the date and circumstances of the award. Candidates appointed from 
this source may qualify in the same manner as a congressional principal 
candidate. All who are found fully qualified will be admitted as cadets, 
regardless of the number.
    (4) Honor Military Schools: Certain Honor Military Schools 
designated by Department of the Army, Department of the Navy, and 
Department of the Air Force are invited to recommend three candidates 
for nomination annually from among their honor graduates. Appointments 
are filled by selecting the best qualified candidates regardless of the 
school from which nominated. Application should be made through the 
school Senior Army Instructor.
    (5) Army ROTC: This category is for members of college and high 
school Army Reserve Officers' Training Corps units. Application should 
be made through the Professor of Military Science or Senior Army 
Instructor at the school.
    (6) Regular Army: This category is for enlisted members of the 
active Army. Appointments may be awarded to 85 Regular Army candidates. 
Application for admission, through command channels to the United States 
Military Academy Preparatory School (USMAPS) constitutes application for 
nomination under this category.
    (7) Reserve Components: This category is for enlisted members of the 
Army Reserve and Army National Guard. Application for admission should 
be made through command channels to USMAPS. Enlisted members who are not 
on active duty should apply to the Commandant, United States Military 
Preparatory School, Fort Monmouth, New Jersey 07703.
    (c) Filipino cadets. The Secretary of the Army may permit each 
entering class one Filipino, designated by the President of the Republic 
of the Philippines, to receive instruction at the United States Military 
Academy.
    (d) Foreign cadets. The law permits 20 persons at a time from the 
Latin-American Republics and Canada to receive instruction at the United 
States Military Academy. A maximum of three persons from any one country 
may be cadets at the same time. Such persons receive the same pay and 
allowances (including mileage from their homes in proceeding to the 
Military Academy for initial admission) as cadets appointed from the 
United States. However, they are not entitled to appointment in the 
United States Armed Forces upon graduation. Citizens of other foreign 
countries have been permitted from time to time to attend the Military 
Academy upon specific authorization of the United States Congress in 
each case. Applications must be submitted to the United States 
Government through diplomatic channels by the governments concerned. 
Requirements for the admission, advancement, and graduation of foreign 
cadets are similar to those for United States Cadets.



Sec. 575.4  [Reserved]



Sec. 575.5  Entrance requirements.

    This section describes the specific requirements which candidates 
must fulfill in addition to obtaining an appointment as outlined in 
Sec. 575.3.
    (a) Age. On 1 July of the year admitted to the Military Academy a 
candidate must be at least 17 years of age and must not have passed his/
her 22d birthday. The age requirements for all candidates are statutory 
and cannot be waived.
    (b) Citizenship. A candidate must be a citizen of the United States, 
except those appointed specifically as foreign cadets.

[[Page 364]]

    (c) Character. Every candidate must be of good moral character.
    (d) Marital Status. A candidate must be unmarried and not be 
pregnant or have a legal obligation to support a child or children.



Sec. 575.6  Catalogue, United States Military Academy.

    The latest edition of the catalogue, United States Military Academy, 
contains additional information regarding the Academy and requirements 
for admission. This publication may be obtained free of charge from the 
Registrar, United States Military Academy, West Point, NY 10996, or from 
the United States Army Military Personnel Center, HQDA (DAPC-OPP-PM), 
200 Stovall Street, Alexandria, VA 22332.



PART 578_DECORATIONS, MEDALS, RIBBONS, AND SIMILAR DEVICES--Table of Contents




                                 General

Sec.
578.1 Purpose.
578.2 Explanation of terms.
578.3 Display sets of award elements and the Medal of Honor.
578.4 U.S. Military decorations.
578.5 Award recommendations.
578.6 Wartime criteria.
578.7 Peacetime criteria.
578.8 General rules.
578.9 Medal of Honor.
578.10 Distinguished Service Cross.
578.11 Distinguished Service Medal.
578.12 Silver Star.
578.13 Legion of Merit.
578.14 Distinguished Flying Cross.
578.15 Soldier's Medal.
578.16 Bronze Star Medal.
578.17 Purple Heart.
578.18 Meritorious Service Medal.
578.19 Air Medal.
578.20 Army Commendation Medal.
578.21 Army Achievement Medal.
578.22 Prisoner of War Medal.
578.23 National Defense Service Medal.
567.24 Antarctica Service Medal.
578.25 Armed Forces Expeditionary Medal.
578.26 Vietnam Service Medal.
578.27 Southwest Asia Service Medal.
578.28 Kosovo Campaign Medal.
578.29 Afghanistan Campaign Medal.
578.30 Iraq Campaign Medal.
578.31 Global War on Terrorism Expeditionary Medal.
578.32 Global War on Terrorism Service Medal.
578.33 Korea Defense Service Medal.
578.34 Armed Forces Service Medal.
578.35 Humanitarian Service Medal.
578.36 Military Outstanding Volunteer Service Medal.
578.37 Army Good Conduct Medal.
578.38 Army Reserve Components Achievement Medal.
578.39 Army Reserve Components Overseas Training Ribbon.
578.40 Overseas Service Ribbon.
578.41 Army Service Ribbon.
578.42 Noncommissioned Officer Professional Development Ribbon.
578.43 Armed Forces Reserve Medal.
578.44 Korean Service Medal.
578.45 Medal of Humane Action.
578.46 Army of Occupation Medal.
578.47 World War II Victory Medal.
578.48 European-African-Middle Eastern Campaign Medal.
578.49 Asiatic-Pacific Campaign Medal.
578.50 American Campaign Medal.
578.51 Women's Army Corps Service Medal.
578.52 American Defense Service Medal.
578.53 Army of Occupation of Germany Medal.
578.54 World War I Victory Medal.
578.55 Service medals and ribbons no longer available for issue.
578.56 United States Unit Awards.
578.57 Presidential Unit Citation.
578.58 Valorous Unit Award.
578.59 Meritorious Unit Commendation.
578.60 Army Superior Unit Award.
578.61 Appurtenances to military decorations.
578.62 Service ribbons.
578.63 Lapel buttons.
578.64 Miniature decorations.
578.65 Supply, service and requisition of medals and badges.
578.66 Original issue or replacement.
578.67 Manufacture, sale, and illegal possession.
578.68 Badges and tabs; general.
578.69 Combat Infantryman Badge.
578.70 Combat Medical Badge.
578.71 Combat Action Badge.
578.72 Expert Infantryman Badge.
578.73 Expert Field Medical Badge.
578.74 Parachutist badges.
578.75 Parachutist Badge--Basic.
578.76 Senior Parachutist Badge.
578.77 Master Parachutist Badge.
578.78 Parachute Rigger Badge.
578.79 Military Free Fall Parachutist Badge.
578.80 Army Aviator Badges.
578.81 Flight Surgeon Badges.
578.82 Diver Badges.
578.83 Special Operations Diver Badge.
578.84 Explosive Ordnance Disposal Badges.
578.85 Explosive Ordnance Disposal Badge--Basic.
578.86 Senior Explosive Ordnance Disposal Badge.

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578.87 Master Explosive Ordnance Disposal Badge.
578.88 Pathfinder Badge.
578.89 Air Assault Badge.
578.90 Aviation Badges.
578.91 Aviation Badge--Basic.
578.92 Senior Aviation Badge.
578.93 Master Aviation Badge.
578.94 Driver and Mechanic Badge.
578.95 Glider Badge (Rescinded).
578.96 Nuclear Reactor Operator Badge (Rescinded).
578.97 Marksmanship Qualification Badge.
578.98 Ranger Tab.
578.99 Special Forces Tab.
578.100 Sapper Tab.
578.101 Physical Fitness Badge.
578.102 U.S. Civilian Marksmanship Program.
578.103 President's Hundred Tab.
578.104 Identification Badges.
578.105 Presidential Service Badge and Certificate.
578.106 Vice Presidential Service Badge and Certificate.
578.107 Office of the Secretary of Defense Identification Badge.
578.108 Joint Chiefs of Staff Identification Badge.
578.109 Army Staff Identification Badge.
578.110 Guard, Tomb of the Unknown Soldier Identification Badge.
578.111 Army ROTC Nurse Cadet Program Identification Badge.
578.112 Drill Sergeant Identification Badge.
578.113 U.S. Army Recruiter Identification Badge.
578.114 Career Counselor Badge.
578.115 Army National Guard Recruiting and Retention Identification 
          Badges.
578.116 U.S. Army Reserve Recruiter Identification Badge.
578.117 Foreign and International Decorations and Awards to U.S. Army 
          Personnel--General.
578.118 Individual foreign decorations.
578.119 Foreign unit decorations.
578.120 Foreign badges.
578.121 United Nations Service Medal.
578.122 Inter-American Defense Board Medal.
578.123 Philippine Defense Ribbon.
578.124 Philippine Liberation Ribbon.
578.125 Philippine Independence Ribbon.
578.126 United Nations Medal.
578.127 North Atlantic Treaty Organization (NATO) Medal.
578.128 Multinational Force and Observers Medal.
578.129 Republic of Vietnam Campaign Medal.
578.130 Kuwait Liberation Medal--Saudi Arabia.
578.131 Kuwait Liberation Medal--Kuwait.
578.132 Republic of Korea War Service Medal.
578.133 Certificates for decorations.
578.134 Certificate of Achievement.
578.135 Certificate of appreciation to employers.
578.136 Certificates for badges.
578.137 Cold War Recognition Certificate.

    Authority: Sec. 3012, Pub. L. 84-1028, 70A Stat. 157; 10 U.S.C. 
3013.

    Source: 71 FR 17276, Apr. 5, 2006, unless otherwise noted.

                                 General



Sec. 578.1  Purpose.

    The primary purpose of the awards program is to provide tangible 
evidence of public recognition for acts of valor and for exceptional 
service or achievement. Medals constitute one of the principal forms for 
such evidence; in the United States Army, medals are of the following 
categories:
    (a) Military decorations are awarded on a restricted individual 
basis in recognition of and as a reward for heroic, extraordinary, 
outstanding, and meritorious acts, achievements, and services; and such 
visible evidence of recognition is cherished by recipients. Decorations 
are primarily intended to recognize acts, achievements, and services in 
time of war.
    (b) The Army Good Conduct Medal is awarded in recognition of 
exemplary behavior, efficiency, and fidelity during enlisted status in 
active Federal military service.
    (c) Service medals are awarded generally in recognition of honorable 
performance of duty during designated campaigns or conflicts. Award of 
decorations, and to a lesser degree, award of the Army Good Conduct 
Medal and of service medals, provide a potent incentive to greater 
effort, and are instrumental in building and maintaining morale.



Sec. 578.2  Explanation of terms.

    The following definitions are furnished for clarity and uniformity 
in the determination and award of decorations:
    (a) Above and beyond the call of duty. Exercise of a voluntary 
course of action, the omission of which would not justly subject the 
individual to censure for failure in the performance of duty. It usually 
includes the acceptance of

[[Page 366]]

existing danger or extraordinary responsibilities with praiseworthy 
fortitude and exemplary courage. In its highest degrees it involves the 
voluntary acceptance of additional danger and risk of life.
    (b) Active Federal military service. The term ``active Federal 
military service'' means all periods of active duty, Active Guard 
Reserve (AGR) service and, except for service creditable for the Armed 
Forces Reserve Medal, excludes periods of active duty for training (ADT) 
and full-time training duty (FTTD). Service as a cadet at the United 
States Military Academy is considered to be active duty for the purposes 
of military awards and decorations.
    (c) Active Guard Reserve. Army National Guard of the U.S. (ARNGUS) 
and U.S. Army Reserve (USAR) personnel serving on active duty (AD) under 
10 U.S.C. and Army National Guard personnel serving on full-time 
National Guard duty (FTNGD) under 32 U.S.C. These personnel are on FTNGD 
or AD (other than training) for 180 days or more for the purpose of 
organizing, administering, recruiting, instructing, or training the 
Reserve Components and are paid from National Guard Personnel, Army or 
Reserve Personnel Army appropriations.
    (d) Area of operation. The foreign territory upon which troops have 
actually landed or are present and specifically deployed for the direct 
support of the designated military operation; adjacent water areas in 
which ships are operating, patrolling, or providing direct support of 
operations; and the airspace above and adjacent to the area in which 
operations are being conducted.
    (e) Award. Recognition given to individuals or units for certain 
acts or services, or badges, accolades, emblems, citations, 
commendations, streamers, and silver bands. Also an adjectival term used 
to identify administrative functions relating to recognition (for 
example, awards boards, award recommendations, and so forth).
    (f) Award precondition. Any eligibility criterion not specified by 
this regulation which must be met before awarding a decoration.
    (g) Biographical sketch. Identification of an individual that 
includes as a minimum: Full name, Social Security Number (SSN), date and 
place of birth, marital status, education, and military service.
    (h) Bravery. Quality or state showing courage; level of conduct 
which is expected of professional Army soldiers.
    (i) Combat heroism. Act or acts of heroism by an individual engaged 
in actual conflict with an armed enemy, or in military operations which 
involve exposure to personal hazards, due to direct enemy action or the 
imminence of such action.
    (j) Combat zone. The region where fighting is going on; the forward 
area of the theater of operations where combat troops are actively 
engaged. It extends from the frontline to the front of the 
communications zone.
    (k) Decoration. Distinctively designed mark of honor denoting 
heroism or meritorious/outstanding service/achievement for individuals 
and units.
    (l) Direct participation. ``Hands-on'' activity at the site, or 
sites, of the military act or operation. The individual must be 
physically present at the designated location, having contributed to and 
influenced the action.
    (m) Direct support. Services being supplied the combat forces in the 
area of operations by ground units, ships, and aircraft providing 
supplies and equipment to the forces concerned, provided it involves 
actually entering the designated area; and ships and aircraft providing 
fire, patrol, guard, reconnaissance, or other military support.
    (n) Distinguished himself or herself by. A person to have 
distinguished himself or herself must, by praiseworthy accomplishment, 
be set apart from other persons in the same or similar circumstances. 
Determination of this distinction requires careful consideration of 
exactly what is or was expected as the ordinary, routine, or customary 
behavior and accomplishment for individuals of like rank and experience 
for the circumstances involved.
    (o) Duty of great responsibility. Duty which, by virtue of the 
position held, carries the ultimate responsibility for the successful 
operation of a major command, activity, agency, installation, or 
project. The discharge of such duty must involve the acceptance and 
fulfillment of the obligation so as to

[[Page 367]]

greatly benefit the interests of the United States.
    (p) Duty of responsibility. Duty, which by virtue of the positions 
held, carries a high degree of the responsibility for the successful 
operation of a major command, activity, agency, installation, or 
project, or which requires the exercise of judgment and decision 
affecting plans, policies, operations, or the lives and well being of 
others.
    (q) Extraordinary heroism. Act or acts of heroism or gallantry 
involving the risk of life. Minimum level of valorous performance in 
combat consistent with a recommendation for the Distinguished Service 
Cross.
    (r) Foreign Decoration. Any order, device, medal, badge, insignia, 
emblem or award, tendered by or received from a foreign government.
    (s) Foreign government. Includes any unit of a foreign governmental 
authority, including any foreign national, State, local and municipal 
Government; any international or multinational organization whose 
membership is composed of any unit of foreign government described 
above; and any agent or representative of any such unit or organization 
while acting as such.
    (t) Gallantry and intrepidity at the risk of life. Fearless 
spontaneous conduct at the certain risk of life, above and beyond the 
call of duty, which clearly sets the soldier apart from all other 
comrades. Minimum level of valorous performance in combat consistent 
with a recommendation for the Medal of Honor.
    (u) Gallantry in action. Spirited and conspicuous acts of heroism 
and courage. Minimum level of valorous performance in combat consistent 
with a recommendation for the Silver Star.
    (v) Heroism. Extreme courage demonstrated in attaining a noble end. 
Varying levels of documented heroic actions are necessary to 
substantiate recommendations for the Bronze Star Medal with ``V,'' Air 
Medal with ``V,'' and the Army Commendation Medal with ``V.''
    (w) In connection with military operations against an armed enemy. 
This phrase covers all military operations including combat, support, 
and supply which have a direct bearing on the outcome of an engagement 
or engagements against armed opposition. To perform duty or to 
accomplish an act of achievement in connection with military operations 
against an armed enemy, the individual must have been subjected either 
to personal hazard as a result of direct enemy action, or the imminence 
of such action, or must have had the conditions under which his duty or 
accomplishment took place complicated by enemy action or the imminence 
of enemy action.
    (x) Key individual. A person who is occupying a position that is 
indispensable to an organization, activity, or project.
    (y) Medal. A term used to--
    (1) Include the three categories of awards, namely: Decorations, 
Army Good Conduct Medal, and service medals.
    (2) Refer to the distinctive physical device of metal and ribbon 
which constitutes the tangible evidence of an award.
    (z) Meritorious Achievement. An act which is well above the expected 
performance of duty. The act should be an exceptional accomplishment 
with a definite beginning and ending date. The length of time is not a 
primary consideration; however, speed of accomplishment of an important 
task can be a factor in determining the value of an act.
    (aa) Meritorious Service. Service which is distinguished by a 
succession of outstanding acts of achievement over a sustained period of 
time. Individual performance must exceed that expected by virtue of 
grade and experience, based on accomplishments during an entire tour of 
duty.
    (bb) Military merit. Demonstrated conduct or character deserving of 
recognition.
    (cc) Officer. Except where expressly indicated otherwise, the word 
``officer'' means ``commissioned or warrant officer.''
    (dd) Operation. A military action, or the carrying out of a 
strategic, tactical, service, training, or administrative military 
mission; the process of carrying on combat including movement, supply, 
attack, defense, and maneuvers needed to gain the objectives of any 
battle or campaign.

[[Page 368]]

    (ee) Outstanding or unusually meritorious performance. Performance 
of duty determined by the employing component to have contributed to an 
unusually significant degree toward the furtherance of good relations 
between the United States and the foreign government tendering the 
decoration. This requires that the service be of national significance 
to the foreign government and that it be performed under exceptionally 
difficult, extraordinary, or hazardous conditions.
    (ff) Peacetime criteria. (1) In a period when the United States is 
not engaged in the prosecution of a formal declared war.
    (2) Applied outside a combat zone when the United States is engaged 
in military operations against an armed enemy, but is not prosecuting a 
formally declared war, except that in the communications zone those 
individuals whose duties are in connection with military operations 
against an armed enemy may be considered under wartime criteria.
    (3) A period in specified areas where U.S. troops are engaged in 
military operations involving conflict with an opposing foreign force or 
while serving with friendly foreign forces engaged in an armed conflict 
against an opposing armed force in which the United States is not a 
belligerent party.
    (gg) Primary next of kin. Primary next of kin are, in order of 
precedence, surviving spouse, eldest child, father or mother, eldest 
brother or sister, or eldest grandchild.
    (hh) Reserve Components of the Army. The Army National Guard of the 
United States and the U.S. Army Reserve.
    (ii) U.S. Individual Army decorations. U.S. Individual Army 
decorations are the Medal of Honor, Distinguished Service Cross, 
Distinguished Service Medal, Silver Star, Legion of Merit, Distinguished 
Flying Cross, Soldier's Medal, Bronze Star Medal, Purple Heart, 
Meritorious Service Medal, Air Medal, Army Commendation Medal, and the 
Army Achievement Medal.
    (jj) U.S. unit decorations. U.S. unit decorations are the 
Presidential Unit Citation, Valorous Unit Award, Meritorious Unit 
Commendation, and Army Superior Unit Award.
    (kk) Valor. Heroism performed under combat conditions.
    (ll) Wartime criteria. (1) A period of formally declared war and for 
1 year after the cessation of hostilities.
    (2) A period of military operations against an armed enemy and for 1 
year after cessation of hostilities. Only those individuals actually in 
the combat zone or those in the communications zone whose duties involve 
direct control or support of combat operations are to be considered 
under wartime criteria.
    (3) A period of national emergency declared by the President or by 
the Congress.



Sec. 578.3  Display sets of award elements and the Medal of Honor.

    (a) Government agencies. Upon approval by the Secretary of the Army, 
samples of military decorations may be furnished, without charge, for 
one display at the headquarters of each Army and higher field commander, 
in the offices of the chiefs of governmental agencies not under military 
jurisdiction where opportunity for the public to view the display is 
assured, and in each office of Headquarters, Department of the Army 
(HQDA) with activities that include matters pertaining to decorations.
    (b) Civilian institutions. Upon approval by the Secretary of the 
Army, samples of military decorations may be furnished, at cost price, 
to museums, libraries, and to national headquarters of historical, 
numismatic, and military societies; and to institutions of such public 
nature as will assure an opportunity for the public to view the exhibits 
under circumstances beneficial to the Army. All decorations furnished to 
civilian institutions for exhibition purposes will be engraved with the 
words, ``For Exhibition Purposes only.''
    (c) Requests. Letter requests for decorations for exhibit or display 
will be made to Commander, U.S. Army Human Resources Command (USA HRC), 
ATTN: AHRC-PDO-PA, 200 Stovall Street, Alexandria, VA 22332-0471.
    (d) Display. Service medals for service prior to World War II will 
not be provided for display purposes since only minimum essential 
quantities are

[[Page 369]]

available for issue to authorized recipients.
    (e) Purchase of medals. Except for the Medal of Honor, all other 
decorations, service medals, and ribbons can be purchased from private 
vendors who have been issued a certificate of authority by the Institute 
of Heraldry. A list of certified vendors can be obtained from HQ, USA 
HRC (see Sec. 578.3 (c)).
    (f) Display sets of the Medal of Honor. Upon written requests, The 
Adjutant General of the Army can approve issue of a display Medal of 
Honor to government agencies (defined in paragraphs (a) and (b) of this 
section). Adequate security arrangement must be provided for the medal 
so that it will not be lost through vandalism or theft. Maximum exposure 
of the medal to the public must be ensured, on a free of charge basis, 
under circumstances beneficial to the Army.



Sec. 578.4  U.S. Military decorations.

    To whom awarded, see Table 1 below.

[[Page 370]]



                                                                                             Table 1
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                      Awarded for:                                                                    Awarded to:
                                   -------------------------------------------------------------------------------------------------------------------------------------------------------------
  Decorations listed in order of                                                                            Military                                              Civilian
            precedence                     Heroism           Achievement or service  -----------------------------------------------------------------------------------------------------------
                                                                                            United States                 Foreign                 United States                 Foreign
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Medal of Honor....................  Combat...............  n/a......................  War \1\..................  n/a......................  n/a......................  n/a.
Distinguished Service Cross.......  Combat...............  n/a......................  War......................  War......................  n/a......................  n/a.
Distinguished Service Medal.......  War..................  War & Peace..............  War & Peace..............  War & Peace..............  War \2\..................  War.\2\
Silver Star.......................  Combat...............  n/a......................  War......................  War......................  War \2\..................  War.\2\
Legion of Merit...................  n/a..................  War & Peace..............  War & Peace..............  War & Peace \5\..........  n/a......................  n/a.
Distinguished Flying Cross........  Combat...............  War & Peace \4\..........  War & Peace..............  War......................  n/a......................  n/a.
                                    Noncombat............
Soldier's Medal...................  Noncombat............  n/a......................  War & Peace \4\..........  War & Peace \4\..........  n/a......................  n/a.
Bronze Star Medal.................  Combat \3\...........  War & Peace \4\..........  War & Peace \4\..........  War & Peace \4\..........  n/a......................  n/a.
Purple Heart......................  For wounds received    n/a......................  War & Peace \7\,\8\......  n/a......................  n/a......................  n/a.
                                     as the result of
                                     hostile action.
Meritorious Service Medal.........  n/a..................  Peace & War \9\..........  Peace....................  Peace....................  n/a......................  n/a.
Air Medal.........................  Combat \3\...........  War & Peace \4\..........  War & Peace \4\..........  War......................  War \2\..................  War.\2\
                                    Noncombat............
Army Commendation Medal...........  Combat \3\...........  War......................  War & Peace \6\..........  War & Peace \6\..........  n/a......................  n/a.
                                    Noncombat............  Peace....................
Army Achievement Medal............  n/a..................  Peace & War \6\, \9\.....  Peace \6\................  Peace \6\................  n/a......................  n/a.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\1\ The Medal of Honor is awarded only to U.S. military personnel.
\2\ Under limited circumstances. Recommendations will be forwarded to HQ, USA HRC for processing.
\3\ Awarded with Bronze ``V'' Device for valor in combat.
\4\ Awarded for peacetime when no formal war has been declared but the U.S. is engaged in military operations against an armed enemy.
\5\ Awarded to foreign military personnel in one of four degrees.
\6\ Not awarded to general officers.
\7\ Awarded to military personnel wounded by terrorists or while members of a peacekeeping force.
\8\ Approval authority is the Secretary of the Army.
\9\ Authorized for award in a combat theater for non-combat meritorious service and achievement.


[[Page 371]]



Sec. 578.5  Award recommendations.

    (a) It is the responsibility and privilege of any individual having 
personal knowledge of an act, achievement, or service believed to 
warrant the award of a decoration to submit a recommendation for 
consideration. It is usually desirable that the intended recipient not 
be informed of a pending recommending or given an implied promise of an 
award prior to final approval and clearance. This is especially true 
when the intended recipient is a foreigner.
    (b) The Department of the Army (DA) Form 638 (Recommendation for 
Award) will be used to initiate, process and approve award 
recommendations of all U.S. Army individual decorations, to include 
valor and heroism decorations.
    (c) Narrative description of meritorious service or achievement for 
awards of the Meritorious Service Medal (MSM), Army Commendation Medal 
(ARCOM), and Army Achievement Medal (AAM) will be limited to bullet 
format in the space allowed on the DA Form 638. Bullet format or 
narratives may be used for the Legion of Merit (LM). Narratives are 
required for all other awards and will be added as an addendum to the 
recommendation. Narrative should be prepared on 8\1/2\ by 11-inch bond 
paper and is limited to one double-spaced typewritten page except for 
recommendations of the Distinguished Service Medal and above. Narratives 
for valor must contain a description of the following elements: Terrain 
and weather of the area in which the action took place; enemy 
conditions, to include morale, proximity, firepower, casualties and 
situation prior to, during and after the act; the effect of the act on 
the enemy; the action of comrades in the immediate vicinity of the act 
and the degree of their participation in the act; if the act occurred in 
aerial flight, the type and position of the aircraft and the 
individual's crew position; the degree to which the act was voluntary; 
the degree to which the act was outstanding and exceeded what was 
normally expected of the individual; all unusual circumstances; and 
overall effects or results of the act.
    (d) Heroism award recommendations will contain statements of 
eyewitnesses, preferably in the form of certificates, affidavits, or 
sworn statements; extracts from official records; sketches; maps; 
diagrams; photographs; and so forth, which support and amplify stated 
facts for the heroism award.
    (e) Recommendations will be forwarded through command channels to 
the commander authorized to approve or disapprove it. Each intermediate 
commander/supervisor will recommend approval or disapproval, and cite 
specific reasons whenever disapproval is recommended.
    (f) Except for the provisions of 10 U.S.C. 1130 outlined in 
paragraph (g) of this section and lost awards, each recommendation for 
an award of a military decoration must be entered administratively into 
military channels within 2 years of the act, achievement, or service to 
be honored. Submission into military channels is defined as ``signed by 
the initiating official and endorsed by a higher official in the chain 
of command.''
    (g) Pursuant to 10 U.S.C. 1130, a Member of Congress can request 
consideration of a proposal for the award or presentation of decoration 
(or the upgrading of a decoration), either for an individual or unit, 
that is not otherwise authorized to be presented or awarded due to 
limitations established by law or policy. Based upon such review, the 
Secretary of the Army shall make a determination as to the merits of 
approving the award or presentation of the decoration and other 
determinations necessary to comply with congressional reporting under 10 
U.S.C. 1130.



Sec. 578.6  Wartime criteria.

    Wartime criteria, by whom awarded. The Medal of Honor is awarded 
only by the President. Other decorations are awarded by the President, 
the Secretary of Defense, and the Secretary of the Army. When wartime 
conditions erupt, authority to further delegate decorations approval 
authority will be requested from the Secretary of the Army. Initial 
delegation will be requested consistent with the award approval 
authority outlined in Table 2 below.

[[Page 372]]



                                                     Table 2
                                 Delegation of Award Approval--Wartime Criteria
 The primary purpose of this table is to outline the various awards and decorations approval authorities for use
 during the immediate stages of Army combat operations. Once delegated, this authority is reviewed every 30, 60,
   or 90 days during combat operations to determine if further delegation is expedient and justified. Wartime
 delegation is withdrawn from approval authorities upon redeployment of the unit. This table is not absolute and
  is subject to change as necessary by the Secretary of the Army. Award approval levels outlined in Table 3 are
                                             applicable to Table 2.
----------------------------------------------------------------------------------------------------------------
                Awards                    Approval authority      May further delegate          Awarded to
----------------------------------------------------------------------------------------------------------------
Medal of Honor.......................  President of the United  N/A....................  U.S. military
                                        States.                                           personnel.
DSC & all lesser decorations.........  Secretary of the Army    N/A....................  a. U.S. Army Active and
                                        or others as                                      Reserve Component
                                        designated by the                                 personnel.
                                        Secretary of the Army.                           b. U.S. Navy, Marine
                                                                                          Corps, Air Force, and
                                                                                          Coast Guard personnel
                                                                                          with concurrence of
                                                                                          the appropriate
                                                                                          Service Secretary.
DSC, SS, LM, DFC and SM..............  CG of a U.S. Army Force  MG and BG commanders     U.S. Army personnel and
                                        (Serving in the rank     (BG must be serving in   members of the other
                                        of General) (See note    MG position),            armed services and
                                        1).                      commanders of separate   members of the armed
                                                                 units, may award the     forces of forces of
                                                                 BSM, AM, and ARCOM       friendly foreign
                                                                 (See note 2).            nations in the ranks
                                                                                          comparable to the
                                                                                          grade of O-6 (COL) or
                                                                                          lower provided
                                                                                          concurrence is
                                                                                          obtained from that
                                                                                          Service or foreign
                                                                                          government.
BSM, AM, ARCOM.......................  Senior Army Commander    MG and BG (serving in    U.S. Army personnel and
                                        and commanders of a      MG positions)            members of the armed
                                        separate force serving   commanders of separate   forces of friendly
                                        in the rank of LTG       units, may award the     foreign nations in the
                                        (see note 1).            BSM, AM and ARCOM (see   ranks comparable to
                                                                 note 2).                 the grade of 0-6 (COL)
                                                                                          and below, provided
                                                                                          concurrence is
                                                                                          obtained from that
                                                                                          Service or foreign
                                                                                          government.
PH...................................  CG of any separate unit  To any field grade       Member of the Army and
                                        and Hospital             commander who has        member of other
                                        commanders receiving     orders issuing           Services provided
                                        casualties.              authority.               concurrence is
                                                                                          obtained from that
                                                                                          Service.
PUC, VUA, MUC........................  As provided in Sec.     Not further delegated..  U.S. units and foreign
                                        578-57; Sec.  578-58                             allied units (see Sec.
                                        and Sec.  578-59.                                  578-57; Sec.   578-
                                                                                          58; and Sec.  578-59.
Campaign Participation Credit........  Senior Army Commander    Not further delegated..  Only to eligible U.S.
                                        serving in the rank of                            Army units and RC
                                        LTG or higher.                                    units called to active
                                                                                          duty.
Assault landing Credit...............  Senior Army Commander    Not further delegated..  Only to eligible U.S.
                                        serving in the rank of                            Army units and RC
                                        LTG or higher.                                    units called to Active
                                                                                          duty. (DA General
                                                                                          Orders Issued)
Combat Badges........................  Commanding General of    To any field grade       See Sec.  578.69, Sec.
                                        any separate unit.       commander who has          578.70, Sec.
                                                                 orders issuing           578.71, Sec.  578.72,
                                                                 authority.               Sec.  578-74, Sec.
                                                                                          578-79, Sec.  578-84
                                                                                          and Sec.  578-99 for
                                                                                          specific elgibility
                                                                                          requirements for
                                                                                          combat requirements
                                                                                          for combat badges. See
                                                                                          also Table 9 on who
                                                                                          may be awarded these
                                                                                          badges.
----------------------------------------------------------------------------------------------------------------
Notes:
1. The senior Army commander (SAC) upon arrival in the theater of operations, or as soon thereafter as
  practical, will submit a request to CFR, USA HRC (see Sec.  578.3(c)), requesting this delegation be
  activated.
2. Authority to approve award of the ARCOM under wartime criteria may be delegated to Colonel level commanders.



Sec. 578.7  Peacetime criteria.

    Peacetime criteria, by whom awarded. Awards for peacetime service 
are made by the President, the Secretary of Defense, and the Secretary 
of the Army. When peacetime criteria apply, authority to award 
decorations is automatically delegated as shown in Table 3 below.

[[Page 373]]



                                 Table 3
------------------------------------------------------------------------
       Delegation of award approving authority-peacetime criteria
-------------------------------------------------------------------------
 Commanders and principal HQDA
       agency officials             May award                To
------------------------------------------------------------------------
Chief of Staff, U.S. Army.....  DSM and all less   All U.S. Army
                                 decorations.       personnel and
                                                    personnel of other
                                                    Services (see note
                                                    2).
General.......................  LM, MSM, ARCOM,    1. U.S. Army
                                 and AAM.           personnel.
                                                   2. U.S. Navy, Marine
                                                    Corps, and Air Force
                                                    Personnel below
                                                    brigadier general
                                                    attached to their
                                                    organizations (see
                                                    note 2).
Lieutenant General............  LM...............  1. U.S. Army
                                                    personnel upon
                                                    retirement or for
                                                    posthumous awards
                                                    only (except general
                                                    grade officers).
                                MSM, ARCOM, and    2. U.S. Army
                                 AAM.               personnel assigned
                                                    and attached for
                                                    duty to their
                                                    command or agency.
                                                   3. U.S. Navy, Marine
                                                    Corps, and Air Force
                                                    Personnel below
                                                    brigadier general
                                                    attached to their
                                                    organizations (see
                                                    note 2).
Major General.................  LM (see note 1)..  1. U.S. Army
                                                    personnel assigned
                                                    and attached for
                                                    duty to their
                                                    command or agency.
                                MSM, ARCOM, and    2. U.S. Navy, Marine
                                 AAM.               Corps, and Air Force
                                                    Personnel below
                                                    brigadier general
                                                    attached to their
                                                    organizations (see
                                                    note 2).
Brigadier General.............  MSM, ARCOM, and    1. U.S. Army
                                 AAM.               personnel assigned
                                                    and attached for
                                                    duty to their
                                                    command or agency.
                                                   2. U.S. Navy, Marine
                                                    Corps, and Air Force
                                                    Personnel below
                                                    brigadier general
                                                    attached to their
                                                    organizations (see
                                                    note 2).
Colonel.......................  ARCOM, AAM.......  1. U.S. Army
                                                    personnel assigned
                                                    and attached for
                                                    duty to their
                                                    command or agency.
                                                   2. U.S. Navy, Marine
                                                    Corps, and Air Force
                                                    Personnel below
                                                    brigadier general
                                                    attached to their
                                                    organizations (see
                                                    note 2).
Lieutenant Colonel............  AAM..............  1. U.S. Army
                                                    personnel assigned
                                                    and attached for
                                                    duty to their
                                                    command.
                                                   2. U.S. Navy, Marine
                                                    Corps, and Air Force
                                                    Personnel below
                                                    brigadier general
                                                    attached to their
                                                    organizations (see
                                                    note 2).
------------------------------------------------------------------------


                           Table 3--Continued
------------------------------------------------------------------------
       Delegation of award approving authority-peacetime criteria
-------------------------------------------------------------------------
   Project Managers Program
  Managers, Product Managers,       May award                To
and Program Executive Officers
------------------------------------------------------------------------
Major Generals and civilian     MSM, ARCOM and     Service members
 equivalent Senior Executive     AAM.               assigned to their
 Service (SES).                                     projects (see note
                                                    2).
Brigadier Generals and          MSM, ARCOM and     Service members
 civilian equivalent SES.        AAM.               assigned to their
                                                    projects (see note
                                                    2).
Colonels and civilian           ARCOM and AAM....  Service members
 equivalent General Schedule                        assigned to their
 (GS) 15.                                           projects (see note
                                                    2).
Lieutenant Colonels...........  AAM..............  Service members
                                                    assigned to their
                                                    projects (see note
                                                    2).
------------------------------------------------------------------------
Notes:
1. Major Army commanders and officials of principal HQDA agencies in the
  grade of Major General have authority to approve awards of the Legion
  of Merit, to retiring and deceased persons, other than general
  officers, assigned to their commands or agencies.
2. See paragraph 1-36, AR 600-8-22 for instructions on awarding Army
  decorations to members of the other U.S. Services.



Sec. 578.8  General rules.

    (a) Awards for civilian service. Awards for DA civilians are 
governed by Army Regulation (AR) 672-20, Incentive Awards. AR 672-20 
provides implementing instructions for incentive awards, honorary awards 
and devices, awards from nonfederal organizations, and medals for public 
service.
    (b) Posthumous awards. Awards may be made following the death of the 
person being honored in the same manner as they are made for a living 
person except that the orders and citation will indicate that the award 
is being made

[[Page 374]]

posthumously. The engraved medal and certificate will not contain the 
word posthumous. Orders announcing the award, together with the 
certificate, medal, citation and related documents will be forwarded to 
the appropriate commander for presentation. Eligible classes of next of 
kin are listed in the order of their precedence in Sec. 578.2 (gg).
    (c) Interim awards and awards of a lesser decoration. (1) To ensure 
that a deserving act, achievement, or service receives recognition, the 
appropriate authority may promptly award a suitable lesser military 
decoration pending final action on a recommendation for a higher award, 
except for retiring U.S. Army general officers. When a higher award is 
approved, the approving authority will revoke the interim award in the 
same orders published for the higher award. The decoration will be 
returned by the recipient, unless the higher award is approved 
posthumously, in which case the next of kin will be permitted to retain 
both awards.
    (2) The authority taking final action may award the decoration 
recommended, award a lesser decoration (or consider the interim award as 
adequate recognition), or in the absence of an interim award, disapprove 
award of any decoration.
    (d) Duplication of awards. (1) Only one decoration will be awarded 
to an individual or unit for the same act, achievement, or period of 
meritorious service.
    (2) The award of a decoration in recognition of a single act of 
heroism or meritorious achievement does not preclude an award for 
meritorious service at the termination of an assignment. Recommendations 
for award of a decoration for meritorious service will not refer to acts 
of heroism or meritorious achievements, which have been previously 
recognized by award or decoration.
    (3) Continuation of the same or similar type service already 
recognized by an award for meritorious service or achievement will not 
be the basis for a second award. If appropriate, an award may be made to 
include the extended period of service by superseding the earlier award, 
or the award previously made be amended to incorporate the extended 
period of service.
    (e) Conversion of awards. Awards of certain decorations (Silver 
Star, Bronze Star Medal, Purple Heart, and Army Commendation Medal) on 
the basis of existing letters, certificates, and/or orders, as 
hereinafter authorized will be made only upon letter application of the 
individuals concerned to the National Personnel Records Center (NPRC), 
9700 Page Avenue, St. Louis, MO 63132-5100 (Soldiers who retired or were 
discharged on or after October 1, 2002 should send their requests to the 
Commander, U.S. Army Human Resources Command, St. Louis, ATTN: AHRC-CC-
B, 1 Reserve Way, St. Louis, MO 63132-5200).
    (f) Character of service. No decoration shall be awarded or 
presented to any individual whose entire service subsequent to the time 
of the distinguished act, achievement, or service shall not have been 
honorable. The Act of July 9, 1918 (40 Stat. 871) as amended (10 U.S.C. 
1409); the Act of July 2, 1926 (44 Stat. 789), as amended (10 U.S.C. 
1429).
    (g) Time limitations. (1) Except for the provisions of 10 U.S.C. 
1130 and lost awards addressed below, each recommendation for an award 
of a military decoration must be entered administratively into military 
channels within 2 years of the act, achievement, or service to be 
honored. Submission into military channels is defined as ``signed by the 
initiating official and endorsed by a higher official in the chain of 
command.''
    (2) Pursuant to 10 U.S.C. 1130, a Member of Congress can request 
consideration of a proposal for the award or presentation of decoration 
(or the upgrading of a decoration), either for an individual or unit, 
that is not otherwise authorized to be presented or awarded due to 
limitations established by law or policy. Based upon such review, the 
Secretary of the Army shall make a determination as to the merits of 
approving the award or presentation of the decoration and other 
determinations necessary to comply with congressional reporting under 10 
U.S.C. 1130.

[[Page 375]]

    (3) To be fully effective, an award must be timely. Undue delay in 
submitting a recommendation may preclude its consideration. It is highly 
desirable that a recommendation be placed in military channels and acted 
upon as quickly as possible. If circumstances preclude submission of a 
completely documented recommendation, it is best to submit it as soon as 
possible and note that additional data will be submitted later. However, 
to ensure prompt recognition, interim awards should be considered and 
are encouraged as addressed above.
    (4) No military decoration, except the Purple Heart and exceptions 
for decorations approved under 10 U.S.C. 1130, will be awarded more than 
3 years after the act or period of service to be honored.
    (5) These time limitations do not apply to retroactive and 
conversion awards made in confirmation of recognition of previously 
issued orders, letters, or certificates or in exchange of decorations 
hereinafter authorized.
    (6) In cases where it can be conclusively proven that formal 
submission of a recommendation for award was not made within the time 
limitations indicated above, because either the person recommending or 
the person being recommended was in a prisoner of war (POW), missing in 
action (MIA) or in a medically incapacitated status, award of the Silver 
Star or lesser decorations may be approved without regard to elapsed 
time since the act, achievement, or service occurred, that is to be 
honored.
    (7) If the Secretary of the Army determines that a statement setting 
forth the distinguished act, achievement, or service, and a 
recommendation for official recommendation recognition was made and 
supported by sufficient evidence within 2 years after the distinguished 
service, and that no award was made because the statement was lost, or 
through inadvertence the recommendation was not acted upon; he or she 
may, within 2 years after the date of the determination, award any 
appropriate military decoration. In each case, the following will be 
provided:
    (i) Conclusive evidence of the formal submission of the 
recommendation into military channels.
    (ii) Conclusive evidence of the loss of the recommendation or the 
failure to act on the recommendation through inadvertence.
    (iii) A copy of the original recommendation, or its substantive 
equivalent. As a minimum, the recommendation should be accompanied by 
statements, certificates, or affidavits corroborating the events or 
services involved. It is emphasized that the proponent must provide 
Commander, USA HRC (see Sec. 578.3(c)), with adequate information for 
Secretarial evaluation of the deed or service to determine if an award 
is to be made. The person signing a reconstructed award recommendation 
must be identified clearly in terms of his or her official relationship 
to the intended recipient at the time of the act or during the period of 
service to be recognized.
    (h) U.S. awards to foreign military personnel. (1) It is the 
Department of Defense (DOD) policy to recognize individual acts of 
heroism, extraordinary achievement or meritorious achievement on the 
part of service members of friendly foreign nations when such acts have 
been of significant benefit to the United States or materially 
contributed to the successful prosecution of a military campaign by 
Armed Forces of the United States. Such acts or achievement shall be 
recognized through the award of an individual U.S. decoration.
    (2) U.S. campaign and service medals shall not be awarded to members 
of foreign military establishments.
    (3) Foreign military personnel in ranks comparable to the grade of 
0-6 and below, at the time the act was performed and at the time the 
decoration is presented, may be awarded the following decorations: 
Silver Star; Distinguished Flying Cross; Bronze Star Medal; or the Air 
Medal for valorous acts in actual combat in direct support of military 
operation; the Soldier's Medal, for heroic acts in direct support of 
operations, but not involving actual combat; and the Legion of Merit 
(see Sec. 578.13 for the Legion of Merit to foreign military 
personnel).

[[Page 376]]

    (i) Announcement of awards. (1) Decorations and the Army Good 
Conduct Medal.
    (i) Awards made by the President, the Secretary of Defense, and the 
Secretary of the Army will be announced in DA General Orders (DAGO).
    (ii) Awards of decorations and the Army Good Conduct Medal made by 
principal HQDA officials will be announced in permanent orders.
    (iii) Awards of decorations and the Army Good Conduct Medal made 
according to delegated authority will be announced in permanent orders 
by the commanders authorized to make the awards.
    (2) Service medals and service ribbons. Service medals and service 
ribbons are administratively awarded to individuals who meet the 
qualifying criteria. Orders are not required.
    (3) Badges. Permanent awards of badges, except basic marksmanship 
qualification badges, identification badges, and the Physical Fitness 
Badge will be announced in permanent orders by commanders authorized to 
make the award or permanent orders of HQDA.
    (j) Engraving of awards. The grade, name, and organization of the 
awardee are engraved on the reverse of the Medal of Honor. The name only 
of the awardee is engraved on the reverse side of every other 
decoration, the POW Medal and the Army Good Conduct Medal. Normally 
engraving will be accomplished prior to presentation. When this is 
impracticable, the awardee will be informed that he or she may mail the 
decoration or Army Good Conduct Medal to the Commander, U.S. Army TACOM, 
Clothing and Heraldry Product Support Integration Directorate (PSID), 
P.O. Box 57997, Philadelphia, PA 19111-7997, for engraving at Government 
expense.
    (k) Presentation of decorations. (1) The Medal of Honor is usually 
presented to living awardees by the President of the United States at 
the White House. Posthumous presentation to the next of kin normally is 
made in Washington, DC by the President or his or her personal 
representative.
    (2) Other U.S. military decorations will be presented with an 
appropriate air of formality and with fitting ceremony.
    (3) Foreign decorations will not be presented by members of the U.S. 
Army to designated recipients whether awardees or next of kin.
    (4) Conversion awards, service medals, and service ribbons usually 
are not presented with formal ceremony. However, such presentation may 
be made at the discretion of the local commander.
    (5) Whenever practical, badges will be presented to military 
personnel in a formal ceremony as provided in Field Manual (FM) 3-21.5. 
Presentations should be made as promptly as practical following 
announcement of awards, and when possible, in the presence of the troops 
with whom the recipients were serving at the time of the qualification.
    (6) Presentation of the Army Good Conduct Medal to military 
personnel may be made at troop formations. (See FM 3-21.5.) Ceremonies 
will not be conducted to present the Army Good Conduct Medal to former 
military personnel or next of kin.
    (7) The Army Lapel Button will be formally presented at troop 
formations or other suitable ceremonies. The U.S. Army Retired Lapel 
Button will be presented at an appropriate ceremony prior to their 
departure for retirement. These buttons may be presented to a separating 
soldier at the same time as the Army Good Conduct Medal and any other 
approved decoration.
    (l) Act of presentation. In the act of presentation, a decoration 
may be pinned on the clothing of the awardee whether in uniform or 
civilian clothing or on the next-of-kin in the case of a presentation 
following the recipient's death; however, this will not be construed as 
authority to wear the decoration for any person other than the 
individual honored. As an alternative to pinning the decoration, 
especially on next-of-kin, it may be handed to the recipient in an 
opened decoration container.



Sec. 578.9  Medal of Honor.

    (a) Criteria. The Medal of Honor (10 U.S.C. 3741) was established by 
Joint Resolution of Congress, July 12, 1962 (amended by Act of July 9, 
1918 and Act of July 25, 1963) is awarded by the President in the name 
of Congress to a

[[Page 377]]

person who, while a member of the Army, distinguished himself or herself 
conspicuously by gallantry and intrepidity at the risk of his life above 
and beyond the call of duty while engaged in an action against an enemy 
of the United States; while engaged in military operations involving 
conflict with an opposing foreign force; or while serving with friendly 
foreign forces engaged in an armed conflict against an opposing armed 
force in which the United States is not a belligerent party. The deed 
performed must have been one of personal bravery or self-sacrifice so 
conspicuous as to clearly distinguish the individual above his comrades 
and must have involved risk of life. Incontestable proof of the 
performance of the service will be exacted and each recommendation for 
the award of this decoration will be considered on the standard of 
extraordinary merit. Eligibility is limited to members of the Army of 
the United States in active Federal military service.
    (b) Description. A gold-finished bronze star, one point down, 1\9/
16\ inches in diameter with rays terminating in trefoils, surrounded by 
a laurel wreath in green enamel, suspended by two links from a bar 
bearing the inscription ``Valor'' and surmounted by an eagle grasping 
laurel leaves in one claw and arrows in the other. In the center of the 
star is the head of Minerva surrounded by the inscription ``United 
States of America.'' Each ray of the star bears an oak leaf in green 
enamel. On the reverse of the bar are stamped the words ``The Congress 
To.'' The medal is suspended by a hook to a ring fastened behind the 
eagle. The hook is attached to a light-blue moired silk neckband, 1\3/
16\ inches in width and 21\3/4\ inches in length, behind a square pad in 
the center made of the ribbon with the corners turned in. On the ribbon 
bar are 13 white stars arranged in the form of a triple chevron, 
consisting of two chevrons of 5 stars and one chevron of 3 stars. A 
hexagonal rosette of light-blue ribbon \1/2\ inch circumscribing 
diameter, with a fan-shaped ribbon insert showing white stars, is 
included for wear on civilian clothing.
    (c) Medal of Honor Roll. The Medal of Honor Roll was established by 
Act of Congress, April 27, 1916, as amended by 38 U.S.C. 1562. It 
provides that each Medal of Honor awardee may have his or her name 
entered on the Medal of Honor Roll. Each person whose name is placed on 
the Medal of Honor Roll is certified to the Veterans Administration as 
being entitled to receive a special pension of $1000 per month for life, 
if the person desires. Payment will be made by the Veterans 
Administration beginning as of the date of application thereof (38 
U.S.C. 1562). The payment of this special pension is in addition to, and 
does not deprive the pensioner of any other pension, benefit, right, or 
privilege to which he or she is or may thereafter be entitled. The 
awardee will submit a DD Form 1369 (Application for Enrollment on the 
Medal of Honor Roll and for the Pension Authorized by the Act of 
Congress) to have his or her name placed on the Medal of Honor Roll and 
to receive the special pension. The application will bear the full 
personal signature of the awardee, or in cases where the awardee cannot 
sign due to disability or incapacity, the signature of the awardee's 
legally designated representative, and be forwarded to Commander, USA 
HRC (see Sec. 578.3(c)). Applicant will receive a DD Form 1370A 
(Certificate of Enrollment on the Medal of Honor Roll).
    (d) Additional benefits. (1) Supplemental uniform allowance. 
Enlisted recipients of the Medal of Honor are entitled to a supplemental 
uniform allowance. (See AR 700-84.)
    (2) Air transportation for Medal of Honor awardees. (See DOD 
Regulation 4515.13-R.)
    (3) Commissary privileges for Medal of Honor recipients and their 
eligible family members. (See AR 600-8-14.)
    (4) Identification cards for Medal of Honor recipients and their 
eligible family members. (See AR 600-8-14.)
    (5) Admission to U.S. Service Academies. Children of Medal of Honor 
awardees, otherwise qualified, are not subject to quota requirements for 
admission to any of the U.S. Service Academies. (See U.S. Service 
Academies annual catalogs.)
    (6) Exchange privileges for Medal of Honor recipients and their 
eligible family members. (See AR 600-8-14.)
    (7) Burial honors for Medal of Honor recipients are identical to 
those who

[[Page 378]]

become deceased while on active duty. (See AR 600-8-1 and AR 600-25.)



Sec. 578.10  Distinguished Service Cross.

    (a) Criteria. The Distinguished Service Cross was established by Act 
of Congress July 9, 1918 (amended by Act of July 25, 1963), 10 U.S.C. 
3742. It is awarded to a person who, while serving in any capacity with 
the Army, distinguishes himself or herself by extraordinary heroism not 
justifying the award of a Medal of Honor while engaged in an action 
against an enemy of the United States; while engaged in military 
operations involving conflict with an opposing force, or while serving 
with friendly foreign forces engaged in an armed conflict against an 
opposing Armed Force in which the United States is not a belligerent 
party. The act or acts of heroism must have been so notable and have 
involved risk of life so extraordinary as to set the individual apart 
from his comrades.
    (b) Description. A cross of bronze 2 inches in height and 1\13/16\ 
inches in width with an eagle on the center and a scroll below the eagle 
bearing the inscription ``For Valor.'' On the reverse, the center of the 
cross is circled by a wreath. The cross is suspended by a ring from 
moired silk ribbon, 1\3/8\ inches in length and 1\3/8\ inches in width, 
composed of a band of red (\1/8\-inch), white (\1/16\-inch), blue (1-
inch), white (\1/16\-inch), and red (\1/8\-inch). (Sec. 3742, 70A Stat. 
215; 10 U.S.C. 3742)



Sec. 578.11  Distinguished Service Medal.

    (a) Criteria. (1) The Distinguished Service Medal was established by 
Act of Congress on July 9, 1918 (10 U.S.C. 3743). It is awarded to any 
person who, while serving in any capacity with the U.S. Army, has 
distinguished himself or herself by exceptionally meritorious service to 
the Government in a duty of great responsibility. The performance must 
be such as to merit recognition for service which is clearly 
exceptional. Exceptional performance of normal duty will not alone 
justify an award of this decoration.
    (2) For service not related to actual war the term ``duty of great 
responsibility'' applies to a narrower range of positions than in time 
of war and requires evidence of conspicuously significant achievement. 
However, justification of the award may accrue by virtue of 
exceptionally meritorious service in a succession of high positions of 
great importance.
    (3) Awards may be made to persons other than members of the Armed 
Forces of the United States for wartime services only, and then only 
under exceptional circumstances with the express approval of the 
President, in each case.
    (b) Description. The coat of arms of the United States in bronze 
surrounded by a circle of dark-blue enamel 1\1/2\ inches in diameter, 
bearing the inscription ``For Distinguished Service MCMXVIII.'' On the 
reverse, a blank scroll upon a trophy of flags and weapons. The medal is 
suspended by a bar from a moired silk ribbon, 1\3/8\ inches in length 
and 1\3/8\ inches in width, composed of a bank of scarlet (\5/8\-inch), 
a stripe of dark-blue (\1/16\-inch), a band of white (\5/8\-inch), a 
stripe of dark-blue (\1/16\-inch), and a band of scarlet (\5/16\-inch). 
(Sec. 3743, 70A Stat. 216; 10 U.S.C. 3743).



Sec. 578.12  Silver Star.

    (a) Criteria. The Silver Star was established by Act of Congress 
July 9, 1918 (amended by Act of July 25, 1963, 10 U.S.C. 3746). It is 
awarded to a person who, while serving in any capacity with the U.S. 
Army, is cited for gallantry in action against an enemy of the United 
States while engaged in military operations involving conflict with an 
opposing foreign force, or while serving with friendly foreign forces 
engaged in an armed conflict against an opposing armed force in which 
the United States is not a belligerent party. The required gallantry, 
while of lesser degree than that required for the Distinguished Service 
Cross, must nevertheless have been performed with marked distinction. It 
is also awarded upon letter application to Commander, USA HRC (see Sec. 
578.3(c)), to those individuals who, while serving in any capacity with 
the U.S. Army, received a citation for gallantry in action in World War 
I published in orders issued by a headquarters commanded by a general 
officer.
    (b) Description. A bronze star 1\1/2\ inches in circumscribing 
diameter. In

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the center thereof is a \3/16\-inch diameter raised silver star, the 
center lines of all rays of both stars coinciding. The reverse has the 
inscription ``For Gallantry in Action.'' The star is suspended by a 
rectangular-shaped metal loop with corners rounded from a moired silk 
ribbon 1\3/8\ inches in length and 1\3/8\ inches in width, composed of 
stripes of blue (\3/32\-inch), white (\3/64\-inch), blue (\7/32\-inch), 
white (\7/32\-inch), red (\7/32\-inch), white (\7/32\-inch), blue (\7/
32\-inch), white (\3/64\-inch), and blue (\3/32\-inch). (Sec. 3746, 70A 
Stat. 216; 10 U.S.C. 3746)



Sec. 578.13  Legion of Merit.

    The Legion of Merit was established by Act of Congress July 20, 1942 
(10 U.S.C. 1121). It is awarded to any member of the Armed Forces of the 
United States or of a friendly foreign nation who has distinguished 
himself or herself by exceptionally meritorious conduct in the 
performance of outstanding services and achievement.
    (a) Criteria for members of Armed Forces of the United States. The 
performance must have been such as to merit recognition of key 
individuals for service rendered in a clearly exceptional manner. 
Performance of duties normal to the grade, branch, specialty, or 
assignment, and experience of an individual is not an adequate basis for 
this award.
    (b) For service not related to actual war, the term ``key 
individuals'' applies to a narrower range of positions than in time of 
war and requires evidence of significant achievement. In peacetime, 
service should be in the nature of a special requirement or of an 
extremely difficult duty performed in an unprecedented and clearly 
exceptional manner. However, justification of the award may accrue by 
virtue of exceptionally meritorious service in a succession of important 
positions.
    (c) Awards will be made without reference to degree.
    (d) Criteria for members of the Armed Forces of foreign nations. The 
LM in the degrees described below, may be awarded to foreign military 
personnel who distinguish themselves by ``exceptional meritorious 
conduct in performance of outstanding service'' to the United States in 
accordance with Executive Order (E.O.) 9260.
    (e) The LM awarded to members of the Armed Forces of foreign nations 
is awarded in the following degrees:
    (1) Chief Commander: A domed five-pointed American white star plaque 
of heraldic form bordered in purplish-red enamel 2\15/16\ inches 
circumscribing diameter with 13 white stars on a blue field emerging 
from a circle of clouds; backing the star, a laurel wreath with pierced, 
crossed arrows pointing outward between each arm of the star and the 
wreath. The reverse is engraved with the words ``United States of 
America.''
    (2) Commander: A five-pointed American white star of heraldic form 
bordered in purplish-red enamel 2\1/4\-inches circumscribing diameter 
with 13 white stars on a blue field emerging from a circle of clouds; 
backing the star, a laurel wreath with pierced, crossed arrows pointing 
outward between each arm of the star and the wreath. A bronze wreath 
connects an oval suspension ring to a neck ribbon. The reverse of the 
five-pointed star is enameled in white bordered in purplish-red enamel; 
in the center is a disk surrounded by the words ``Annuit Coeptis'' and 
``MDCCLXXXII,'' and on the scroll are the words ``United States of 
America.'' The moired silk neck ribbon is 21\1/4\ inches in length and 
1\15/16\ inches in width composed of a bank of purplish-red (1\13/16\-
inches) with edges of white (\1/16\-inch).
    (3) Officer: A five-pointed American white star of heraldic form 
bordered in purplish-red enamel 1\7/8\-inches circumscribing diameter 
with 13 white stars on a blue field emerging from a circle of clouds; 
backing the star, a laurel wreath with modeled, crossed arrows pointing 
outward between each arm of the star and the wreath, and an all-bronze 
device of the same design as the pendant \3/4\ inch in diameter on the 
center of the suspension ribbon. On the reverse is a disk surrounded by 
the words ``Annuit Coeptis'' and ``MDCCLXXXII,'' and on the scroll are 
the words ``United States of America.'' The pendant is suspended by a 
moired silk ribbon 1\7/8\ inches in length and 1\3/8\ inches in width, 
composed of a bank of

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purplish-red (1\1/4\-inches) with edges of white (\1/16\-inch).
    (4) Legionnaire: Same as prescribed in paragraph (e)(3) of this 
section, except the all-bronze device is not worn on the ribbon. (Sec. 
1121, 70A Stat. 88; 10 U.S.C. 1121, E.O. 9260, October 29, 1942, 7 FR 
8819, 3 CFR, 1943 Cum. Supp.)



Sec. 578.14  Distinguished Flying Cross.

    (a) Criteria. The Distinguished Flying Cross was established by Act 
of Congress July 2, 1926, (10 U.S.C. 3749). It is awarded to any person 
who, while serving in any capacity with the Army of the United States, 
distinguished himself or herself by heroism or extraordinary achievement 
while participating in aerial flight. The performance of the act of 
heroism must be evidenced by voluntary action above and beyond the call 
of duty. The extraordinary achievement must have resulted in an 
accomplishment so exceptional and outstanding as to clearly set the 
individual apart from his comrades, or from other persons in similar 
circumstances. Awards will be made only to recognize single acts of 
heroism or extraordinary achievement and will not be made in recognition 
of sustained operational activities against an armed enemy.
    (b) Description. On a bronze 1\1/2\-inch cross pattee, a four-bladed 
propeller 1\11/16\ inches across the blades; in the reentrant angles, 
rays forming a 1-inch square. The cross is suspended by a plain, 
straight link from a moired silk ribbon 1\3/8\ inches in length and 1\3/
8\ inches in width, composed of stripes of blue (\7/64\-inch), white 
(\9/64\-inch), blue (\11/32\-inch), white (\3/64\-inch), red (\3/32\-
inch), white (\3/64\-inch), blue (\11/32\-inch), white (\9/64\-inch), 
and blue (\7/64\-inch). (Sec. 3749, 70A Stat. 217; 10 U.S.C. 3749, E.O. 
4601, March 1, 1927, as amended by E.O. 7786, January 8, 1938, 3 FR 39.)



Sec. 578.15  Soldier's Medal.

    (a) Criteria. The Soldier's Medal was established by Act of Congress 
July 2, 1926 (10 U.S.C. 3750). It is awarded to any person of the Armed 
Forces of the United States or of a friendly foreign nation who, while 
serving in any capacity with the Army of the United States, including 
Reserve Component soldiers not serving in a duty status, as defined in 
10 U.S.C. 101(d), at the time of the heroic act, who distinguished 
himself or herself by heroism not involving actual conflict with an 
enemy. The same degree of heroism is required as that for an award of 
the Distinguished Flying Cross. The performance must have involved 
personal hazard or danger and the voluntary risk of life under 
conditions not involving conflict with an armed enemy. Awards will not 
be made solely on the basis of having saved a life.
    (b) Description. On a 1\3/8\-inch bronze octagon, an eagle 
displayed, standing on a fasces, between two groups of stars of six and 
seven, above the group of six a spray of leaves. On the reverse is a 
shield paly of 13 pieces on the chief, the letters ``U.S.'' supported by 
sprays of laurel and oak, around the upper edge the inscription 
``Soldier's Medal,'' and across the face the words ``For Valor.'' The 
medal is suspended by a rectangular-shaped metal loop with corners 
rounded from a moired silk ribbon 1\3/8\ inches in length and 1\3/8\ 
inches in width, composed of two outside stripes of blue (\3/8\-inch), 
the center containing 13 white and red stripes of equal width (7 white 
and 6 red). (Sec. 3750, 70A Stat. 217; 10 U.S.C. 3750.)



Sec. 578.16  Bronze Star Medal.

    (a) Criteria. The Bronze Star Medal was established by Executive 
Order 9419, February 4, 1944 (superseded by E.O. 11046, August 24, 1962 
and amended by 10 U.S.C. 1133). It is awarded to any person who, while 
serving in any capacity in or with the Army of the United States after 
December 7, 1941, distinguished himself or herself by heroic or 
meritorious achievement or service, not involving participation in 
aerial flight, in connection with military operations against an armed 
enemy; or while engaged in military operations involving conflict with 
an opposing armed force in which the United States is not a belligerent 
party. Per 10 U.S.C. 1133, award of the Bronze Star Medal is limited to 
members of the Armed Forces of the United States who receive imminent 
danger pay.
    (1) Heroism. Awards may be made for acts of heroism, performed under 
circumstances described above, which are

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of lesser degree than required for the award of the Silver Star.
    (2) Meritorious achievement and service. Awards may be made to 
recognize single acts of merit and meritorious service. The lesser 
degree than that required for the award of the LM, must nevertheless 
have been meritorious and accomplished with distinction.
    (3) Awards may be made, by letter application to NPRC, 9700 Page 
Avenue, St. Louis, MO 63132-5100 (Soldiers who retired or were 
discharged after October 1, 2002 should send their requests to the 
Commander, U.S. Army Human Resources Command, St. Louis, ATTN: AHRC-CC-
B, 1 Reserve Way, St. Louis, MO 63132-5200), enclosing documentary 
evidence, if possible, to each member of the Armed Forces of the United 
States who, after December 6,1941, has been cited in orders or awarded a 
certificate for exemplary conduct in ground combat against an armed 
enemy between December 7, 1941 and September 2, 1945, inclusive, or 
whose meritorious achievement has been otherwise confirmed by documents 
executed prior to July 1, 1947. For this purpose, an award of the Combat 
Infantryman Badge or Medical Badge is considered as a citation in 
orders. Documents executed since August 4, 1944 in connection with 
recommendations for the award of decorations of higher degree than the 
Bronze Star Medal will not be used to establish a basis for the award 
under this paragraph.
    (4) Upon letter application, award of the Bronze Star Medal may be 
made to eligible soldiers who participated in the Philippine Islands 
Campaign between December 7, 1941 to May 10, 1942. Performance of duty 
must have been on the island of Luzon or the Harbor Defenses in 
Corregidor and Bataan. Only soldiers who were awarded the Distinguished 
Unit Citation (redesignated the Presidential Unit Citation on November 
3, 1966) may be awarded this decoration. Letter application should be 
sent to NPRC (see paragraph (a)(3) of this section).
    (b) Description. A bronze star 1\1/2\ inches in circumscribing 
diameter. In the center thereof is a \3/16\-inch diameter raised bronze 
star, the center line of all rays of both stars coinciding. The reverse 
has the inscription ``Heroic or Meritorious Achievement.'' The star is 
suspended by a rectangular-shaped loop with corners rounded from a 
moired silk ribbon 1\3/8\ inches in length and 1\3/8\ inches in width, 
composed of stripes of white (\1/32\-inch), red (\9/16\-inch), white 
(\1/32\-inch), blue (\1/8\-inch), white (\1/32\-inch), red (\9/16\-
inch), and white (\1/32\-inch). A bronze block letter ``V'' \1/4\ inch 
in height with serifs at the top of the members is worn on the 
suspension and service ribbons of the Bronze Star Medal to denote an 
award made for heroism (valor). Not more than one ``V'' device will be 
worn. When one or more oak-leaf clusters appear on the same ribbon the 
``V'' device is worn on the wearer's right. (E.O. 9419, February 4, 
1944, 9 FR 1495)



Sec. 578.17  Purple Heart.

    (a) Criteria. The Purple Heart was established by General George 
Washington at Newburgh, New York, on August 7, 1782, during the 
Revolutionary War. It was reestablished by the President of the United 
States per War Department General Orders (WDGO) 3, 1932 and is currently 
awarded pursuant to Executive Order 11016, April 25, 1962; Executive 
Order 12464, February 23, 1984; Public Law 98-525, October 19, 1984. 
Public Law 103-160, November 30, 1993; Public Law 104-106, February 10, 
1996; and Public Law 105-85, November 18, 1997. It is awarded in the 
name of the President of the United States to any member of the Armed 
Forces of the United States who, while serving under competent authority 
in any capacity with one of the U.S. Armed Services after April 5, 1917 
who has been wounded or killed, or who has died or may hereafter die 
after being wounded:
    (1) In any action against an enemy of the United States.
    (2) In any action with an opposing armed force of a foreign country 
in which the Armed Forces of the United States are or have been engaged.
    (3) While serving with friendly foreign forces engaged in an armed 
conflict against an opposing armed force in which the United States is 
not a belligerent party.
    (4) As a result of an act of any such enemy of opposing armed 
forces.

[[Page 382]]

    (5) As the result of an act of any hostile foreign force.
    (6) After March 28, 1973, as a result of an international terrorist 
attack against the United States or a foreign nation friendly to the 
United States, recognized as such an attack by the Secretary of Army, or 
jointly by the Secretaries of the separate armed services concerned if 
persons from more than one service are wounded in the attack.
    (7) After March 28, 1973, as a result of military operations while 
serving outside the territory of the United States as part of a 
peacekeeping force.
    (b) While clearly an individual decoration, the Purple Heart differs 
from all other decorations in that an individual is not ``recommended'' 
for the decoration; rather he or she is entitled to it upon meeting 
specific criteria.
    (1) A Purple Heart is authorized for the first wound suffered under 
conditions indicated above, but for each subsequent award an Oak Leaf 
Cluster will be awarded to be worn on the medal or ribbon. Not more than 
one award will be made for more than one wound or injury received at the 
same instant or from the same missile, force, explosion, or agent.
    (2) A wound is defined as an injury to any part of the body from an 
outside force or agent sustained under one or more of the conditions 
listed above. A physical lesion is not required, however, the wound for 
which the award is made must have required treatment by a medical 
officer and records of medical treatment for wounds or injuries received 
in action must have been made a matter of official record.
    (3) When contemplating an award of this decoration, the key issue 
that commanders must take into consideration is the degree to which the 
enemy caused the injury. The fact that the proposed recipient was 
participating in direct or indirect combat operations is a necessary 
prerequisite, but is not sole justification for award.
    (4) Examples of enemy-related injuries which clearly justify award 
of the Purple Heart are as follows:
    (i) Injury caused by enemy bullet, shrapnel, or other projectile 
created by enemy action.
    (ii) Injury caused by enemy placed mine or trap.
    (iii) Injury caused by enemy released chemical, biological, or 
nuclear agent.
    (iv) Injury caused by vehicle or aircraft accident resulting from 
enemy fire.
    (v) Concussion injuries caused as a result of enemy generated 
explosions.
    (5) Examples of injuries or wounds which clearly do not qualify for 
award of the Purple Heart are as follows:
    (i) Frostbite or trench foot injuries.
    (ii) Heat stroke.
    (iii) Food poisoning not caused by enemy agents.
    (iv) Chemical, biological, or nuclear agents not released by the 
enemy.
    (v) Battle fatigue.
    (vi) Disease not directly caused by enemy agents.
    (vii) Accidents, to include explosive, aircraft, vehicular, and 
other accidental wounding not related to or caused by enemy action.
    (viii) Self-inflicted wounds, except when in the heat of battle, and 
not involving gross negligence.
    (ix) Post traumatic stress disorders.
    (x) Jump injuries not caused by enemy action.
    (6) It is not intended that such a strict interpretation of the 
requirement for the wound or injury to be caused by direct result of 
hostile action be taken that it would preclude the award being made to 
deserving personnel. Commanders must also take into consideration the 
circumstances surrounding an injury, even if it appears to meet the 
criteria. Note the following examples:
    (i) In a case such as an individual injured while making a parachute 
landing from an aircraft that had been brought down by enemy fire; or, 
an individual injured as a result of a vehicle accident caused by enemy 
fire, the decision will be made in favor of the individual and the award 
will be made.
    (ii) Individuals injured as a result of their own negligence; for 
example, driving or walking through an unauthorized area known to have 
been mined or placed off limits or searching for or picking up 
unexploded munitions as war souvenirs, will not be awarded the Purple 
Heart as they clearly were

[[Page 383]]

not injured as a result of enemy action, but rather by their own 
negligence.
    (7) Members killed or wounded in action by friendly fire, 10 U.S.C. 
1129.
    (i) For purposes of award of the Purple Heart, the Secretary of the 
Army shall treat a member of the Armed Forces described in paragraph (a) 
of this section in the same manner as a member who is killed or wounded 
in action as the result of an act of an enemy of the United States.
    (ii) A member described in this subsection is a member who is killed 
or wounded in action by weapon fire while directly engaged in armed 
conflict, other than as the result of an act of an enemy of the United 
States, unless (in the case of a wound) the wound is the result of 
willful misconduct of the member.
    (iii) This section applies to members of the Armed Forces who are 
killed or wounded on or after December 7, 1941. In the case of a member 
killed or wounded, as described in paragraph (b) of this section, on or 
after December 7, 1941 and before November 30, 1993, the Secretary of 
the Army shall award the Purple Heart under provisions of paragraph (a) 
of this section in each case which is known to the Secretary before such 
date or for which an application is made to the Secretary in such manner 
as the Secretary requires.
    (c) A Purple Heart will be issued to the next of kin of each person 
entitled to a posthumous award. Issue will be made automatically by the 
CG, USA HRC, upon receiving a report of death indicating entitlement.
    (d) Upon written application to NPRC (see Sec. 578.16(a)(3)) award 
may be made to any member of the Army, who during World War I, was 
awarded a Meritorious Service Citation Certificate signed by the 
Commander in Chief, American Expeditionary Forces, or who was authorized 
to wear wound chevrons. Posthumous awards to personnel who were killed 
or died of wounds after April 5, 1917 will be made to the appropriate 
next of kin upon application to the CG, USA HRC (see Sec. 578.3(c) for 
address).
    (e) Any member of the Army who was awarded the Purple Heart for 
meritorious achievement or service, as opposed to wounds received in 
action, between December 7, 1941 and September 22, 1943, may apply for 
award of an appropriate decoration instead of the Purple Heart.
    (f) For those who became Prisoners of War during World War II, the 
Korean War and after April 25, 1962, the Purple Heart will be awarded to 
individuals wounded while prisoners of foreign forces, upon submission 
by the individual to the Department of the U.S. Army of an affidavit 
that is supported by a statement from a witness, if this is possible. 
Documentation and inquiries should be directed to Commander, USA HRC 
(see Sec. 578.3(c) for address).
    (g) Any member of the U.S. Army who believes that he or she is 
eligible for the Purple Heart, but through unusual circumstances no 
award was made, may submit an application through military channels, to 
Commander, USA HRC (see Sec. 578.3(c) for address). Application will 
include complete documentation, to include evidence of medical 
treatment, pertaining to the wound.
    (h) Description. On a purple heart within a bronze border, a profile 
head in relief of General George Washington in military uniform. Above 
the heart is a shield of General Washington's coat of arms between two 
sprays of leaves in green enamel. On the reserve below the shield and 
leaves without enamel is a raised bronze heart with the inscription 
``For Military Merit.'' The entire device is 1\11/16\ inches in length. 
The medal is suspended by a rectangular-shaped loop with corners rounded 
from a moired silk ribbon 1\3/8\ inches in length and 1\3/8\ inches in 
width consisting of a purple (pansy) center with white edges (\1/8\-
inch).



Sec. 578.18  Meritorious Service Medal.

    (a) Criteria. The Meritorious Service Medal was established by 
Executive Order 11448, January 16, 1969 as amended by Executive Order 
12312, July 2, 1981. It is awarded to any member of the Armed Forces of 
the United States or to any member of the Armed Forces of a friendly 
foreign nation who, has distinguished himself or herself by outstanding 
meritorious achievement or service under the following circumstances:

[[Page 384]]

    (1) After January 16, 1969, for meritorious service or achievement 
while serving in a non-combat area.
    (2) On or after September 11, 2001, for outstanding non-combat 
meritorious achievement or service in a non-combat or combat area.
    (b) Description. A Bronze medal, 1\1/2\ inches in diameter overall, 
consisting of six rays issuant from the upper three points of a five-
pointed star with beveled edges and containing two smaller stars defined 
by incised outlines; in front of the lower part of the star an eagle 
with wings upraised standing upon two upward curving branches of laurel 
tied with a ribbon between the feet of the eagle. The reverse has the 
encircled inscriptions ``UNITED STATES OF AMERICA'' and ``MERITORIOUS 
SERVICE''. The moired ribbon is 1\3/8\ inches wide and consists of the 
following stripes: \1/8\ inch Crimson 67112; \1/4\ inch White 67101; 
center \5/8\ inch Crimson; \1/4\ inch White; and \1/8\ inch Crimson.



Sec. 578.19  Air Medal.

    (a) Criteria. The Air Medal was established by Executive Order 9158, 
May 11, 1942 as amended by Executive Order 9242-A, September 11, 1942. 
It is awarded to any person who, while serving in any capacity in or 
with the U.S. Army, has distinguished himself or herself by meritorious 
achievement while participating in aerial flight. Awards may be made to 
recognize single acts of merit or heroism, or for meritorious service as 
described.
    (1) Awards may be made for acts of heroism in connection with 
military operations against an armed enemy or while engaged in military 
operations involving conflict with an opposing armed force in which the 
United States is not a belligerent party, which are of a lesser degree 
than required for award of the Distinguished Flying Cross.
    (2) Awards may be made for single acts of meritorious achievement, 
involving superior airmanship, which are of a lesser degree than 
required for award of the Distinguished Flying Cross, but nevertheless 
were accomplished with distinction beyond that normally expected.
    (3) Awards for meritorious service may be made for sustained 
distinction in the performance of duties involving regular and frequent 
participation in aerial flight for a period of at least 6 months. In 
this regard, accumulation of a specified number of hours and missions 
will not serve as the basis for award of the Air Medal. Criteria in 
Sec. 578.19(a)(1), concerning conditions of conflict are applicable to 
award of the Air Medal for meritorious service.
    (4) Award of the Air Medal is primarily intended to recognize those 
personnel who are on current crewmember or non-crewmember flying status 
which requires them to participate in aerial flight on a regular and 
frequent basis in the performance of their primary duties. However, it 
may also be awarded to certain other individuals whose combat duties 
require regular and frequent flying in other than a passenger status, or 
individuals who perform a particularly noteworthy act while performing 
the function of a crewmember, but who are not on flying status as 
prescribed in AR 600-106. These individuals must make a discernible 
contribution to the operational land combat mission or to the mission of 
the aircraft in flight. Examples of personnel whose combat duties 
require them to fly include those in the attack elements of units 
involved in air-land assaults against an armed enemy and those directly 
involved in airborne command and control of combat operations. 
Involvement in such activities, normally at the brigade/group level and 
below, serves only to establish eligibility for award of the Air Medal; 
the degree of heroism, meritorious achievement or exemplary service 
determines who should receive the award. Awards will not be made to 
individuals who use air transportation solely for the purpose of moving 
from point to point in a combat zone.
    (5) Numerals, starting with 2 will be used to denote second and 
subsequent awards of the Air Medal.
    (b) Description. A bronze compass rose 1\11/16\-inches 
circumscribing diameter suspended by the pointer and charged with an 
eagle volant carrying two lightning flashes in its talons. The points of 
the compass rose on the reverse are modeled with the central portion 
plain. The medal is suspended from a moired silk ribbon 1\3/8\ inches in

[[Page 385]]

length and 1\3/8\ inches in width, composed of a band of ultramarine 
blue (\1/8\-inch), a band of golden orange (\1/4\-inch), a band of 
ultramarine blue (\5/8\-inch), a band of golden orange (\1/4\-inch), and 
a band of ultramarine blue (\1/8\-inch), by a ring engaging the pointer. 
(E.O. 9158, May 11, 1942, 7 FR 3541, as amended by E.O. 9242A, September 
11, 1942, 7 FR 7874).



Sec. 578.20  Army Commendation Medal.

    (a) Criteria. The Army Commendation Medal (ARCOM) was established by 
War Department (WD) Circular 377, on December 18, 1945 (amended in DAGO 
10, March 31, 1960). It is awarded to any members of the Armed Forces of 
the United States who, while serving in any capacity with the Army after 
December 6, 1941, distinguishes himself or herself by an act of heroism, 
extraordinary achievement, or meritorious service. Award may be made to 
a member of the Armed Forces of a friendly foreign nation who, after 
June 1, 1962, distinguishes himself or herself by an act of heroism, 
extraordinary achievement, or meritorious service, which has been of 
mutual benefit to a friendly nation and the United States.
    (1) Awards of the ARCOM may be made for acts of valor performed 
under circumstances described above which are of lesser degree than 
required for award of the Bronze Star Medal. These acts may involve 
aerial flight.
    (2) An award of the ARCOM may be made for acts of non-combat related 
heroism, which do not meet the requirements for an award of the 
Soldier's Medal.
    (3) The ARCOM will not be awarded to general officers.
    (4) Awards of the ARCOM may be made on letter application to NPRC 
(see Sec. 578.16(a)(3) for address), to any individual commended after 
December 6, 1941 and before January 1, 1946 in a letter, certificate, or 
order of commendation, as distinguished from letter of appreciation, 
signed by an officer in the grade or position of a major general or 
higher. Awards of the Army Commendation Ribbon and of the Commendation 
Ribbon with Metal Pendant are re-designated by DAGO 10, March 31, 1960, 
as awards of the ARCOM, without amendments of certificates or of orders 
previously issued.
    (5) The Commander, Eighth U.S. Army is authorized to award the Army 
Commendation Medal for meritorious service to Korean Augmentation to 
U.S. Army (KATUSA) personnel.
    (b) Description. On a 1\3/8\-inch bronze hexagon, one point up, an 
American bald eagle with wings displayed horizontally grasping three 
crossed arrows and bearing on its breast a shield paly of 13 pieces and 
a chief. On the reverse between the words ``For Military'' and ``Merit'' 
a panel, all above a sprig of laurel. A moired silk ribbon 1\3/8\ inches 
in length and 1\3/8\ inches in width, composed of stripes of white (\3/
32\-inch), green (\25/64\-inch), white (\1/32\-inch), green (\1/16\-
inch), white (\1/32\-inch), green (\1/16\-inch), white (\1/32\-inch), 
green (\1/16\-inch), white (\1/32\-inch), green (\1/16\-inch), white 
(\1/32\-inch), green (\25/64\-inch), and white (\3/32\-inch).



Sec. 578.21  Army Achievement Medal.

    (a) Criteria. The Army Achievement Medal (AAM) was established by 
the Secretary of the Army, April 10, 1981. It is awarded to any member 
of the Armed Forces of the United States, or to any member of the Armed 
Forces of a friendly foreign nation, who while serving in any capacity 
with the Army distinguished himself or herself by meritorious service or 
achievement of a lesser degree than required for award of the Army 
Commendation Medal under the following circumstances:
    (1) After August 1, 1981, for meritorious service or achievement 
while serving in a non-combat area.
    (2) On or after September 11, 2001, for non-combat meritorious 
achievement or service.
    (b) The AAM will not be awarded to general officers.
    (c) Description. A Bronze octagonal medal, 1\1/2\ inches in 
diameter, with one angle at the top centered. On the obverse is a design 
consisting of the elements of the DA plaque and the date ``1775'' at the 
bottom. On the reverse, in three lines, are the words ``FOR MILITARY 
ACHIEVEMENT'' above a space for inscription and below there are two 
slips of laurel. The moired ribbon is 1\3/8\ inches wide and consists of 
the following stripes: \1/8\ inch Green

[[Page 386]]

67129; \1/16\ inch White 67101; \1/8\ inch Green; \1/16\ inch White; \9/
32\ inch Ultramarine Blue 67118; center \1/16\ inch White; \9/32\ inch 
Ultramarine Blue; \1/16\ inch White; \1/8\ inch Green; \1/16\ inch 
White; and \1/8\ inch Green.



Sec. 578.22  Prisoner of War Medal.

    (a) Criteria. The POW Medal is authorized by Public Law 99-145, 10 
U.S.C. 1128, November 8, 1985, as amended by 10 U.S.C. 1128, November 
29, 1989. It is authorized for any person who, while serving in any 
capacity with the U.S. Armed Forces, was taken prisoner and held captive 
after April 5, 1917.
    (1) The POW Medal is to be issued only to those U.S. military 
personnel and other personnel granted creditable U.S. military service, 
who were taken prisoner and held captive--
    (i) While engaged in an action against an enemy of the United 
States.
    (ii) While engaged in military operations involving conflict with an 
opposing foreign force.
    (iii) While serving with friendly forces engaged in an armed 
conflict against an opposing force in which the United States is not a 
belligerent party.
    (iv) By foreign armed forces that are hostile to the United States, 
under circumstances which the Secretary concerned finds to have been 
comparable to those under which persons have generally been held captive 
by enemy armed forces during periods of armed conflict.
    (2) U.S. and foreign civilians who have been credited with U.S. 
military service which encompasses the period of captivity are also 
eligible for the medal. The Secretary of Defense authorized on January 
27, 1990, the POW Medal for the Philippine Commonwealth Army and 
Recognized Guerrilla Unit Veterans who were held captive between 
December 7, 1941, and September 26, 1945. DD Form 2510-1 (Prisoner of 
War Medal Application/Information-Philippine Commonwealth Army and 
Recognized Guerrilla Veterans) was developed as the application for 
Filipino Veterans who fit this category.
    (3) For purposes of this medal, past armed conflicts are defined as 
World War I, World War II, Korean War, Vietnam Conflict, Grenada, 
Panama, Persian Gulf War, and Somalia. Hostages of terrorists and 
persons detained by governments with which the United States is not 
engaged actively in armed conflict are not eligible for the medal.
    (4) Any person convicted of misconduct or a criminal charge by a 
U.S. military tribunal, or who receives a less than honorable discharge 
based upon actions while a prisoner of war, or whose conduct was not in 
accord with the Code of Conduct, and whose actions are documented by 
U.S. military records is ineligible for the medal. The Secretary of the 
Army is the authority for deciding eligibility in such cases.
    (5) No more than one POW Medal will be awarded. For subsequent award 
of the medal, service stars will be awarded and worn on the suspension 
and service ribbon of the medal. A period of captivity terminates on 
return to U.S. military control. Escapees who do not return to U.S. 
military control and are recaptured by an enemy do not begin a new 
period of captivity for subsequent award of the POW Medal. (Service 
stars are described in Sec. 578.61.)
    (6) The POW Medal may be awarded posthumously.
    (7) The primary next of kin of eligible prisoners of war who die in 
captivity may be issued the POW Medal regardless of the length of stay 
in captivity.
    (8) Personnel officially classified as Missing in Action (MIA) are 
not eligible for award of the POW Medal. The POW Medal will only be 
awarded when the individual's prisoner of war status has been officially 
confirmed and recognized as such by the DA. Likewise, the return of 
remains, in and of itself, does not constitute evidence of confirmed 
prisoner of war status.
    (b) Award of the POW Medal to active military personnel, veterans, 
retirees and their next of kin--(1) Active Military Personnel. Award of 
the POW Medal to military personnel in an active war will be processed 
by the Commander, USA HRC (see Sec. 578.3 (c)), after coordination with 
the Repatriation and Family Affairs Division.
    (2) Veterans, retirees and their next of kin. All requests for the 
POW Medal will be initiated by eligible former

[[Page 387]]

POWs, or their next of kin, using a personal letter or DD Form 2510 
(Prisoner of War Medal Application/ Information). Applications should be 
forwarded to the NPRC (see Sec. 578.16(a)(3) for address).
    (c) Description. A purple heart within a Gold border, 1\3/8\ inches 
wide, containing a profile of General George Washington. Above the heart 
appears a shield of the Washington Coat of Arms (a White shield with two 
Red bars and three Red stars in chief) between sprays of Green leaves. 
The reverse consists of a raised Bronze heart with the words ``FOR 
MILITARY MERIT'' below the coat of arms and leaves. The ribbon is 1\3/8\ 
inches wide and consists of the following stripes: \1/8\ inch White 
67101; 1\1/8\ inches Purple 67115; and \1/8\ inch White 67101.



Sec. 578.23  National Defense Service Medal.

    (a) Criteria. The National Defense Service Medal (NDSM) was 
established by Executive Order 10448, April 22, 1953, as amended by 
Executive Order 11265, January 11, 1966 and Executive Order 12776, 
October 18, 1991. It is awarded for honorable active service for any 
period between June 27, 1950 and July 27, 1954, both dates inclusive; 
between January 1, 1961 and August 14, 1974, both dates inclusive; 
between August 2, 1990 and November 30, 1995, both dates inclusive; and 
from September 11, 2001 to a date to be determined.
    (1) For the purpose of this award, the following persons will not be 
considered as performing active service:
    (i) Army National Guard and U.S. Army Reserve forces personnel on 
short tours of duty to fulfill training obligations under an inactive 
duty training program.
    (ii) Any service member on temporary duty or temporary active duty 
to serve on boards, courts, commissions, and like organizations.
    (iii) Any service member on active duty for the sole purpose of 
undergoing a physical examination.
    (2) In addition to the conditions listed above, Executive Order 
12776 extended award of the NDSM to all members of the Army National 
Guard and United States Army Reserve who were part of the selected 
Reserve in good standing during the period August 2, 1990 to November 
30, 1995. During this period, soldiers in the following categories will 
not be considered eligible:
    (i) Any soldier of the Individual Ready Reserve, Inactive National 
Guard or the standby or retired Reserve whose active duty service was 
for the sole purpose of undergoing a physical examination.
    (ii) Any soldier of the Individual Ready Reserve, Inactive National 
Guard or the standby or retired reserve whose active duty service was 
for training only, or to serve on boards, courts, commissions and like 
organizations.
    (3) On March 28, 2003, the President signed an amendment to 
Executive Order 10448 that extends the eligibility criteria for award of 
the NDSM to members of the selected Reserve of the Armed Forces of the 
United States in good standing during the period beginning September 11, 
2001 to a date to be determined to be eligible for award of the NDSM.
    (4) Any member of the Army National Guard or U.S. Army Reserve who, 
after December 31, 1960, becomes eligible for the award of the Armed 
Forces Expeditionary Medal or the Vietnam Service Medal, is also 
eligible for award of the NDSM. The NDSM may be awarded to members of 
the Reserve Component who are ordered to Federal active duty regardless 
of the duration (except for categories listed above).
    (5) To signify receipt of a second or subsequent award of the NDSM, 
a service star will be worn on the service ribbon by U.S. Army personnel 
so qualified. Second or third award of the NDSM is authorized for 
soldiers who served in one or more of the three time periods as listed 
in paragraph (a) of this section. It is not authorized for soldiers who 
met the criteria in one time period, left active duty and returned 
during the same period of eligibility. (Service stars are described in 
Sec. 578.61)
    (6) Cadets of the U.S. Military Academy are eligible for the NDSM, 
during any of the inclusive periods listed above, upon completion of the 
swearing-in ceremonies as a cadet.

[[Page 388]]

    (7) The NDSM may be awarded posthumously.
    (b) Description. On a Bronze medal, 1\1/4\ inches in diameter, an 
eagle displayed with inverted wings standing on a sword and palm branch, 
all beneath the inscription ``NATIONAL DEFENSE''. On the reverse is a 
shield taken from the Coat of Arms of the United States with an open 
wreath below it, the right side of oak leaves and the left side of 
laurel leaves. The ribbon is 1\3/8\ inches wide and consists of the 
following stripes: \7/16\ inch Scarlet 67111; \1/32\ inch White 67101; 
\1/32\ inch Old Glory Blue 67178; \1/32\ inch White; \1/32\ inch 
Scarlet; center \1/4\inch Golden Yellow 67104; \1/32\ inch Scarlet; \1/
32\ inch White; \1/32\ inch Old Glory Blue; \1/32\ inch White; and \7/
16\ inch Scarlet.



Sec. 578.24  Antarctica Service Medal.

    (a) Criteria. The Antarctica Service Medal (ASM) was established by 
Public Law 86-600 (DA Bulletin. 3, 1960). It is awarded to any person 
who, after January 2, 1946 and before a date to be announced, meets any 
of the following qualifications:
    (1) Any member of the Armed Forces of the United States or civilian 
citizen, national, or resident alien of the United States who, is a 
member of a direct support or exploratory operation in Antarctica.
    (2) Any member of the Armed Forces of the United States or civilian 
citizen, national, or resident alien of the United States who 
participates in or has participated in a foreign Antarctic expedition in 
Antarctica in coordination with a United States expedition and who is or 
was under the sponsorship and approval of competent U.S. Government 
authority.
    (3) Any member of the Armed Forces of the United States who 
participates in or has participated in flights as a member of the crew 
of an aircraft flying to or from the Antarctic continent in support of 
operations in Antarctica.
    (4) Any member of the Armed Forces of the United States or civilian 
citizen, national, or resident alien of the United States who serves or 
has served on a U.S. ship operating south of latitude 60 degrees S. in 
support of U.S. programs in Antarctica.
    (5) Any person, including citizens of foreign nations, not 
fulfilling any above qualification, but who participates in or has 
participated in a United States expedition in Antarctica at the 
invitation of a participating United States Agency. In such case, the 
award will be made by the Secretary of the Department under whose 
cognizance the expedition falls provided the commander of the military 
support force as senior U.S. representative in Antarctica considers that 
the individual has performed outstanding and exceptional service and 
shared the hardship and hazards of the expedition.
    (b) Personnel who remain on the Antarctic Continent during the 
winter months will be eligible to wear a clasp or a disc as described 
below:
    (1) A clasp with the words ``Wintered Over'' on the suspension 
ribbon of the medal:
    (2) A \5/16\ inch diameter disc with an outline of the Antarctic 
continent inscribed thereon fastened to the bar ribbon representing the 
medal.
    (3) The appurtenances in paragraphs (b)(1) and (2) of this section 
are awarded in bronze for the first winter, in gold for the second 
winter and in silver for personnel who ``winter over'' three or more 
times.
    (c) Subsequent to June 1, 1973, minimum time limits for the award 
are 30 days under competent orders to duty at sea or ashore, south of 
latitude 60 degrees S. Each day of duty under competent orders at any 
outlying station on the Antarctic continent will count as 2 days when 
determining award eligibility. Effective July 1, 1987, flight crews of 
aircraft providing logistics support from outside the Antarctic area may 
qualify for the award after 15 missions (one flight in and out during 
any 24-hour period equals one mission). Days need not be consecutive.
    (d) No person is authorized to receive more than one award of the 
ASM. Not more than one clasp or disc will be worn on the ribbon. 
Antarctica is defined as the area south of latitude 60 degrees S. The 
ASM takes precedence immediately after the Korean Service Medal.
    (e) Description. The medal is bronze, 1\1/4\ inches in diameter, 
with a view of a polar landscape and the standing figure

[[Page 389]]

in Antarctica clothing facing to the front between the horizontally 
placed words ``ANTARCTICA'' on the figure's right and ``SERVICE'' on the 
figure's left. On the reverse is a polar projection with geodesic lines 
of the continent of Antarctica across which are the horizontally placed 
words ``COURAGE'', ``SACRIFICE'', and ``DEVOTION'', all within a 
circular decorative border of penguins and marine life. The Suspension 
Ribbon Clasp: On a metal clasp, 1\1/4\ inches in width and \1/4\ inch in 
height, inscribed with the words ``WINTERED OVER'' in raised letters 
within a \1/32\ inch rim. The metal color of the clasp is Bronze for the 
first winter, Gold for the second winter and Silver for the third 
winter. The Service Ribbon Attachment: On a metal disc, \5/16\ inch in 
diameter, a superimposed delineation of the Antarctica continent. The 
metal color of the ribbon attachment is Bronze for the first winter, 
Gold for the second winter and Silver for the third winter. The ribbon 
is 1\3/8\ inches wide and consists of a \3/16\ inch Black stripe on each 
edge and graded from a White stripe in the center to a Pale Blue, Light 
Blue, Greenish Blue, and Medium Blue.



Sec. 578.25  Armed Forces Expeditionary Medal.

    (a) Criteria. The Armed Forces Expeditionary Medal (AFEM) was 
established by Executive Order 10977, dated December 4, 1961 (DA 
Bulletin. 1, 1962) and Executive Order 11231, July 8, 1965. This medal 
is authorized for:
    (1) U.S. military operations.
    (2) U.S. operations in direct support of the United Nations.
    (3) U.S. operations of assistance for friendly foreign nations.
    (b) Requirements. The AFEM is awarded for services after July 1, 
1958, meeting the following qualifications:
    (1) Personnel must be a bona fide member of a unit and engaged in 
the operation, or meet one or more of the following criteria:
    (i) Have served not less than 30 consecutive days in the area of 
operations.
    (ii) Be engaged in direct support of the operation for 30 
consecutive days or 60 nonconsecutive days, provided this support 
involves entering the area of operations. The qualifying criteria for 
non-unit direct support personnel in Grenada is 6 consecutive days or 12 
non-consecutive days.
    (iii) Serve for the full period where an operation is of less than 
30 days duration.
    (iv) Be engaged in actual combat, or duty which is equally as 
hazardous as combat, during the operation with armed opposition, 
regardless of time in the area.
    (v) Participate as a regularly assigned crewmember of an aircraft 
flying into, out of, within, or over the area in support of the military 
operation.
    (2) If the criteria above have not been fulfilled the individual 
must be recommended, or attached to a unit recommended, by the chief of 
a service or the commander of a unified or specified command for award 
of the medal. Such recommendations may be made to the Joint Chiefs of 
Staff (JCS) for duty of such value to the operation as to warrant 
particular recognition.
    (c) The designated U.S. military operations, areas, and dates are 
provided in Table 4 below:

                                 Table 4
------------------------------------------------------------------------
            Area                      Dates              Explanation
------------------------------------------------------------------------
Quemoy and Matsu Islands....  August 23, 1956 to    ....................
                               June 1, 1963.
Lebanon.....................  July 1, 1958 to       ....................
                               November 1, 1958.
Taiwan Straits..............  August 23, 1958 to    ....................
                               January 1, 1959.
Berlin......................  August 14, 1961 to    ....................
                               June 1, 1963.
Cuba........................  October 24, 1962 to   ....................
                               June 1, 1963.
Congo.......................  November 23 to 27,    ....................
                               1964.
Dominican Republic..........  April 28, 1965 to     ....................
                               September 21, 1966.
Korea.......................  October 1, 1966 to    ....................
                               June 30, 1974.
Cambodia--Operation EAGLE     April 11 to 13, 1975  Evacuation of
 PULL.                                               Cambodia.
Vietnam--Operation FREQUENT   April 29 to 30, 1975  Evacuation of
 WIND.                                               Vietnam (see Sec.
                                                     578.26(e) for
                                                     conversion of AFEM
                                                     to VSM).
Mayaguez Operation..........  May 15, 1975........  ....................

[[Page 390]]

 
Grenada--Operation URGENT     October 23, 1983 to   The qualifying
 FURY.                         November 21, 1983.    criteria for non-
                                                     unit direct support
                                                     personnel in
                                                     Grenada is 6
                                                     consecutive days or
                                                     12 nonconsecutive
                                                     days.
Libya--Operation ELDORADO     April 12, 1986 to     ....................
 CANYON.                       April 17, 1986.
Panama--Operation JUST CAUSE  December 20, 1989 to  ....................
                               January 31, 1990.
Haiti--Operation UPHOLD       September 16, 1994    ....................
 DEMOCRACY.                    to March 31, 1995.
------------------------------------------------------------------------

    (d) Designated U.S. operations in direct support of the United 
Nations are provided in Table 5 below:

                                 Table 5
------------------------------------------------------------------------
            Area                      Dates              Explanation
------------------------------------------------------------------------
Congo.......................  July 14, 1960 to
                               September 1, 1962.
Somalia--Operations RESTORE   December 5, 1992 to
 HOPE and UNITED SHIELD.       March 31, 1995.
Former Republic of            June 1, 1992 to June  Only for
 Yugoslavia--Operations        20, 1998.             participants
 JOINT ENDEAVOR and JOINT                            deployed in Bosnia-
 GUARD.                                              Herzegovina and
                                                     Croatia.
Former Republic of            June 21, 1998 to a
 Yugoslavia--Operation JOINT   date to be
 FORGE.                        determined.
------------------------------------------------------------------------

    (e) Designated U.S. operations of assistance for a friendly foreign 
nation are provided in Table 6 below:

                                 Table 6
------------------------------------------------------------------------
            Area                      Dates              Explanation
------------------------------------------------------------------------
Vietnam.....................  July 1, 1958 to July
                               3, 1965.
Laos........................  April 19, 1961 to
                               October 7, 1962.
Cambodia....................  March 29, 1973 to
                               August 15, 1973.
Thailand....................  March, 29 1973 to     Only those in direct
                               August 15, 1973.      support of Cambodia
                                                     operations.
El Salvador.................  January 1, 1981 to
                               February 1, 1992.
Lebanon.....................  June 1, 1983 to
                               December 1, 1987.
Persian Gulf--Operation       July 24, 1987 (the    The area of
 EARNEST WILL.                 date of the           operations is the
                               Bridgeton incident)   area from 20
                               to August 1, 1990.    degrees north
                                                     latitude northward
                                                     to 30 degrees, 30
                                                     minutes, north
                                                     latitude and from
                                                     46 degrees, 36
                                                     minutes, east
                                                     longitude eastward
                                                     to 63 degrees east
                                                     longitude. These
                                                     geographical limits
                                                     include the Persian
                                                     Gulf, Bahrain,
                                                     Kuwait, the Gulf of
                                                     Oman and most of
                                                     Saudi Arabia.
Southwest Asia:
    --Operation SOUTHERN      December 1, 1995 to
     WATCH.                    a date to be
                               determined.
    --Maritime Intercept      December 1, 1995 to
     Operation.                a date to be
                               determined.
    --Vigilant Sentinel.....  December 1, 1995 to
                               February 15, 1997.
    --Operation NORTHERN      January 1, 1997 to a
     WATCH.                    date to be
                               determined.
    --Operation DESERT        November 11, 1998 to
     THUNDER.                  December 22, 1998.
    --Operation DESERT FOX..  December 16, 1998 to
                               December 22, 1998.
    --Operation DESERT        December 31, 1998 to
     SPRING.                   a date to be
                               determined.
------------------------------------------------------------------------


[[Page 391]]

    (f) One bronze service star is worn to denote subsequent award of 
the AFEM. To be eligible for additional awards, service must be rendered 
in more than one of the designated areas and dates specified in 
paragraphs (c), (d), and (e) of this section. No two awards will be made 
for service in the same designated area.
    (g) Arrowhead device. The arrowhead device is a bronze replica of an 
Indian arrowhead \1/4\-inch high. It denotes participation in a combat 
parachute jump, helicopter assault landing, combat glider landing, or 
amphibious assault landing, while assigned or attached as a member of an 
organized force carrying out an assigned tactical mission. A soldier 
must actually exit the aircraft or watercraft, as appropriate, to 
receive assault landing credit. Individual assault credit is tied 
directly to the combat assault credit decision for the unit to which the 
soldier is attached or assigned at the time of the assault. It is worn 
on the service and suspension ribbons of the AFEM when the unit is 
credited with assault landing credit. Only one arrowhead device will be 
worn on the ribbon.
    (h) Description. The medal is bronze, 1\1/4\ inches in diameter, an 
eagle, with wings addorsed and inverted, standing on a sword loosened in 
its scabbard, and super-imposed on a radiant compass rose of eight 
points, all within the circumscription ``ARMED FORCES'' above and 
``EXPEDITIONARY SERVICE'' below with a sprig of laurel on each side. On 
the reverse is the shield from the United States Coat of Arms above two 
laurel branches separated by a bullet, all within the circumscription 
``UNITED STATES OF AMERICA''. The ribbon is 1 \3/8\ inches wide and 
consists of the following stripes: \3/32\ inch Green 67129; \3/32\ inch 
Golden Yellow 67104; \3/32\ inch Spicebrown 67196; \3/32\ inch Black 
67138; \7/32\ inch Bluebird 67117; \1/16\ inch Ultramarine Blue 67118; 
\1/16\ inch White 67101; \1/16\ inch Scarlet; \7/32\ inch Bluebird; \3/
32\ inch Black; \3/32\ inch Spicebrown; \3/32\ inch Golden Yellow; and 
\3/32\ inch Green.



Sec. 578.26  Vietnam Service Medal.

    (a) Criteria. The Vietnam Service Medal (VSM) was established by 
Executive Order 11231, July 8, 1965. It is awarded to all members of the 
Armed Forces of the United States serving in Vietnam and contiguous 
waters or airspace thereover, after July 3, 1965 through March 28, 1973. 
Members of the Armed Forces of the United States in Thailand, Laos, or 
Cambodia, or the airspace thereover, during the same period and serving 
in direct support of operations in Vietnam are also eligible for this 
award.
    (b) Qualifications: To qualify for award of the VSM an individual 
must meet one of the following qualifications:
    (1) Be attached to or regularly serve for 1 or more days with an 
organization participating in or directly supporting military 
operations.
    (2) Be attached to or regularly serve for 1 or more days abroad a 
Naval vessel directly supporting military operations.
    (3) Actually participate as a crewmember in one or more aerial 
flights into airspace above Vietnam and contiguous waters directly 
supporting military operations.
    (4) Serve on temporary duty for 30 consecutive days or 60 
nonconsecutive days in Vietnam or contiguous areas, except that time 
limit may be waived for personnel participating in actual combat 
operations.
    (c) No person will be entitled to more than one award of the VSM.
    (d) Individuals qualified for the AFEM for reason of service in 
Vietnam between July 1, 1958 and July 3, 1965 (inclusive) shall remain 
qualified for that medal. Upon request (unit personnel officer) any such 
individual may be awarded the VSM instead of the AFEM. In such 
instances, the AFEM will be deleted from the list of authorized medals 
in personnel records. No person will be entitled to both awards for 
Vietnam service.
    (e) Service members who earned the AFEM for Operation FREQUENT WIND 
between April 29-30, 1975, may elect to receive the Vietnam Service 
Medal instead of the AFEM. No service member may be issued both medals 
for service in Vietnam.
    (f) Vietnam and contiguous waters, as used herein, is defined as an 
area which includes Vietnam and the water adjacent thereto within the 
following

[[Page 392]]

specified limits: From a point on the East Coast of Vietnam at the 
juncture of Vietnam with China southeastward to 21 degrees N. latitude, 
108 degrees; 15[min]E. longitude; thence, southward to 18 degrees; N. 
latitude, 108 degrees; 15[min] E. longitude; thence southeastward to 17 
degrees 30[min] N. latitude, 111 degrees E. longitude; thence southward 
to 11 degrees N. latitude; 111 degrees E. longitude; thence 
southwestward to 7 degrees N. latitude, 105 degrees E. longitude; thence 
westward to 7 degrees N. latitude, 103 degrees; E. longitude; thence 
northward to 9 degrees 30[min] N. latitude, 103 degrees E. longitude, 
thence northeastward to 10 degrees 15[min] N. latitude, 104 degrees 
27[min] E. longitude; thence northward to a point on the West Coast of 
Vietnam at the juncture of Vietnam with Cambodia.
    (g) The VSM may be awarded posthumously.
    (h) The boundaries of the Vietnam combat zone for campaign 
participation credit are as defined in paragraph (d) of this section.
    (i) One bronze service star is authorized for each campaign under 
the following conditions:
    (1) Assigned or attached to and present for duty with a unit during 
the period in which it participated in combat.
    (2) Under orders in the combat zone and in addition meets any of the 
following requirements:
    (i) Awarded a combat decoration.
    (ii) Furnished a certificate by a commanding general of a corps, 
higher unit, or independent force that he actually participated in 
combat.
    (iii) Served at a normal post of duty (as contrasted to occupying 
the status of an inspector, observer, or visitor).
    (iv) Aboard a vessel other than in a passenger status and furnished 
a certificate by the home port commander of the vessel that he served in 
the combat zone.
    (3) Was an evadee or escapee in the combat zone or recovered from a 
prisoner-of-war status in the combat zone during the time limitations of 
the campaign. Prisoners of war will not be accorded credit for the time 
spent in confinement or while otherwise in restraint under enemy 
control.
    (j) Description. The medal is Bronze, 1\1/4\ inches in diameter, an 
oriental dragon behind a grove of bamboo trees above the inscription 
``REPUBLIC OF VIETNAM SERVICE.'' On the reverse, a crossbow surmounted a 
by a torch above the arched inscription ``UNITED STATES OF AMERICA''. 
The ribbon is 1 \3/8\ inches wide and consists of the following stripes: 
\1/8\ inch Primitive Green 67188; \5/16\ inch Air Force Yellow 67103; 
\1/16\ inch Old Glory Red 67156; \5/32\ inch Air Force Yellow; center 
\1/16\ inch Old Glory Red; \5/32\ inch Air Force Yellow; \1/16\ inch Old 
Glory Red; \5/16\ inch Air Force Yellow; and \1/8\ inch Primitive Green.
    (k) The Vietnam campaigns are provided in Table 7 below:

                                 Table 7
------------------------------------------------------------------------
          Campaigns              Inclusive dates    Streamer inscription
------------------------------------------------------------------------
Vietnam Advisory Campaign...  March 15, 1962 to     Vietnam Advisory
                               March 7, 1965.        1962-1965.
Vietnam Defense Campaign....  March 8, 1965 to      Vietnam Defense
                               December 24, 1965.    1965.
Vietnam Counteroffensive....  December 25, 1965 to  Vietnam
                               June 30, 1966.        Counteroffensive
                                                     1965-1966.
Vietnam Counteroffensive      July 1, 1966 to May   Vietnam Phase II
 Phase II.                     31, 1967 (see         1966, 1967.
                               footnote below).
Vietnam Counteroffensive      June 1, 1967 to       Vietnam
 Phase III.                    January 29, 1968.     Counteroffensive,
                                                     Phase III, 1967-
                                                     1968.
Tet Counteroffensive........  January 30, 1967 to   Tet Counteroffensive
                               April 1, 1968.        1968.
Vietnam Counteroffensive      April 2, 1968 to      Vietnam
 Phase IV.                     June 30, 1968.        Counteroffensive,
                                                     Phase IV 1968.
Vietnam Counteroffensive      July 1, 1968 to       Vietnam
 Phase V.                      November 1, 1968.     Counteroffensive,
                                                     Phase V 1968.
Vietnam Counteroffensive      November 2, 1968 to   Vietnam
 Phase VI.                     February 22, 1969.    Counteroffensive,
                                                     Phase VI 1968-1969.
Tet 69 Counteroffensive.....  February 23, 1969 to  Tet 69/
                               June 8, 1969.         Counteroffensive,
                                                     1969.
Vietnam Summer-Fall 1969....  June 9, 1969 to       Vietnam Summer-Fall
                               October 31, 1969.     1969.
Vietnam Winter-Spring 1970..  November 1, 1969 to   Vietnam Winter-
                               April 30, 1970.       Spring 1970.
Sanctuary Counteroffensive..  May 1, 1970 to June   Sanctuary
                               30, 1970.             Counteroffensive
                                                     1970.
Vietnam Counteroffensive      July 1, 1970 to June  Vietnam
 Phase VII.                    30, 1971.             Counteroffensive,
                                                     Phase VII, 1970-
                                                     1971.
Consolidation I.............  July 1, 1971 to       Consolidation I
                               November 30, 1971.    1971.

[[Page 393]]

 
Consolidation II............  December 1, 1971 to   Consolidation II
                               March 29, 1972.       1971-1972.
Vietnam Cease-Fire..........  March 30, 1972 to     Vietnam Cease-Fire
                               January 28, 1973.     1972-1973.
------------------------------------------------------------------------
 Footnote: Arrowhead device authorized only for members of the 173d
  Airborne Brigade who actually participated in the landing in the
  vicinity of Katum, Republic of Vietnam, between the hours of 0800-
  0907, inclusive on February 27, 1967. A bronze service star affixed to
  the Parachutist Badge is authorized for members of the 173d Airborne
  Brigade for participation in combat parachute jump on February 22,
  1967 per Department of the Army General Orders 18, 1979.



Sec. 578.27  Southwest Asia Service Medal.

    (a) The Southwest Asia Service Medal (SWASM) was established by 
Executive Order 12754, March 12, 1991. It is awarded to all members of 
the Armed Forces of the United States serving in Southwest Asia and 
contiguous waters or airspace thereover, on or after August 2, 1990 to 
November 30, 1995. Southwest Asia and contiguous waters, as used herein, 
is defined as an area which includes the Persian Gulf, Red Sea, Gulf of 
Oman, Gulf of Aden, that portion of the Arabian Sea that lies north of 
10 degrees N. latitude and west of 68 degrees E. longitude, as well as 
the total land areas of Iraq, Kuwait, Saudi Arabia, Oman, Bahrain, 
Qatar, and United Arab Emirates.
    (b) Members of the Armed Forces of the United States serving in 
Israel, Egypt, Turkey, Syria, and Jordan (including the airspace and 
territorial waters) between January 17, 1991 and April 11, 1991, will 
also be eligible for this award. Members serving in these countries must 
have been under the command and control of U.S. Central Command or 
directly supporting military operations in the combat theater.
    (c) To be eligible, a service member must meet one or more of the 
following criteria:
    (1) Be attached to or regularly serving for one or more days with an 
organization participating in ground or shore (military) operations.
    (2) Be attached to or regularly serving for one or more days aboard 
a naval vessel directly supporting military operations.
    (3) Be actually participating as a crew member in one or more aerial 
flights directly supporting military operations in the areas designated 
in paragraphs (a) and (b) of this section.
    (4) Be serving on temporary duty for 30 consecutive days or 60 
nonconsecutive days. These time limitations may be waived for people 
participating in actual combat operations.
    (d) The SWASM may be awarded posthumously to any person who lost his 
or her life while, or as a direct result of, participating in Operation 
DESERT SHIELD or Operation DESERT STORM without regard to the length of 
such service, if otherwise eligible.
    (e) One bronze service star will be worn on the suspension and 
service ribbon of the SWASM for participation in each designated 
campaign. Service stars are described in Sec. 578.61. The designated 
campaigns for Southwest Asia are provided in Table 8 below:

                                 Table 8
------------------------------------------------------------------------
          Campaign               Inclusive dates    Streamer inscription
------------------------------------------------------------------------
Defense of Saudi Arabia.....  August 2, 1990 to     Defense of Saudi
                               January 16, 1991.     Arabia 1990-1991.
Liberation and Defense of     January 17, 1991 to   Liberation and
 Kuwait.                       April 11, 1991.       Defense of Kuwait
                                                     1991.
Southwest Asia Cease-Fire...  April 12, 1991 to     Southwest Asia Cease-
                               November 30, 1995.    Fire, 1991-1995.
------------------------------------------------------------------------

    (f) See AR 670-20 for the Civilian Service in Southwest Asia Medal.
    (g) Description. The medal is Bronze 1\1/4\ inches wide, with the 
words ``SOUTHWEST ASIA SERVICE'' across the center background. Above the 
center is a desert scene with a tank, armored personnel carrier, 
helicopter and camels with the rising sun in the background. Below the 
center is a seascape with ship, tanker, aircraft and clouds in the 
background. On the reverse, is an upraised sword entwined with a palm 
frond and ``UNITED STATES OF

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AMERICA'' around the edge. The ribbon is 1\3/8\ inches wide and consists 
of the following stripes: \1/16\ inch Black 67138; \1/8\ inch Chamois 
67142; \1/16\ inch Old Glory Blue 67178; \1/16\ inch White 67101;\ 1/16\ 
inch Old Glory Red 67156; \3/16\ inch Chamois; \3/32\ inch Myrtle Green 
67190; center \1/16\ inch Black; \3/32\ inch Myrtle Green; \3/16\ inch 
Chamois; \1/16\ inch Old Glory Red; \1/16\ inch White; \1/16\ inch Old 
Glory Blue; \1/8\ inch Chamois; and \1/16\ inch Black.



Sec. 578.28  Kosovo Campaign Medal.

    (a) Criteria. The Kosovo Campaign Medal (KCM) was established by 
Executive Order 13154, May 3, 2000. It is awarded to members of the 
Armed Forces of the United States who, after March 24, 1999, meet the 
following criteria:
    (1) Participated in or served in direct support of Kosovo 
Operation(s): ALLIED FORCE; JOINT GUARDIAN; ALLIEDHARBOUR; SUSTAIN HOPE/
SHINING HOPE; NOBLE ANVIL; or Kosovo TASK FORCE(S): HAWK, SABER; or 
HUNTER within the Kosovo Air Campaign or Kosovo Defense Campaign areas 
of eligibility.
    (i) Kosovo Air Campaign. The Kosovo Air Campaign began on March 24, 
1999 and ended on June 10, 1999. The area of eligibility for the Air 
Campaign includes the total land area and air space of Serbia (including 
Kosovo), Montenegro, Albania, Macedonia, Bosnia, Croatia, Hungary, 
Romania, Greece, Bulgaria, Italy and Slovenia; and the waters and air 
space of the Adriatic and Ionian Sea north of the 39th North latitude.
    (ii) Kosovo Defense Campaign. The Kosovo Defense Campaign began on 
June 11, 1999 to a date to be determined. The area of eligibility for 
the Defense Campaign includes the total land area and air space of 
Serbia (including Kosovo), Montenegro, Albania, Macedonia, and the 
waters and air space of the Adriatic Seas within 12 nautical miles of 
the Montenegro, Albania, and Croatia coastlines south of 42 degrees and 
52 minutes North latitude.
    (2) Service members must be bona fide members of a unit 
participating in or be engaged in direct support of the operation for 30 
consecutive days in the area of eligibility or for 60 nonconsecutive 
days provided this support involves entering the operations area of 
eligibility for meet one or more of the following criteria:
    (i) Be engaged in actual combat, or duty that is equally as 
hazardous as combat duty, during the operation with armed opposition, 
regardless of time in the area of eligibility;
    (ii) While participating in the operation, regardless of time, is 
wounded or injured and requires medical evacuation from the area of 
eligibility.
    (iii) While participating as a regularly assigned aircrew member 
flying sorties into, out of, within, or over the area of eligibility in 
direct support of the military operations.
    (b) The KCM may be awarded posthumously to any person who lost his 
or life without regard to the length of such service.
    (c) One bronze service star will be worn on the suspension and 
service ribbon of the KCM for participation in each campaign (Kosovo Air 
Campaign and Kosovo Defense Campaign). Qualification for a second bronze 
service star requires meeting the criteria for both campaigns. The 30 
consecutive or 60 nonconsecutive days that begin during the Air Campaign 
and continues into the Defense Campaign entitles a member to only one 
bronze service star.
    (d) Description. The medal is bronze, 1\3/8\ inches in diameter, 
with the stylized wreath of grain, reflecting the agricultural 
domination of the area and its economy, symbolizes the basic human 
rights while highlighting the desire of all for peace, safety and 
prosperity. The rocky terrain, fertile valley, and mountain pass refer 
to the Dinartic Alps and the Campaign Theater of operations. The sunrise 
denotes the dawning of a new age of unity and hope; the right to forge a 
future of freedom, progress and harmony, thus fulfilling the goal of the 
Alliance. On the reverse an outline of the Yugoslavian Province of 
Kosovo, denoting the area of conflict, is combined with a NATO star and 
highlighted compass cardinal points, signifying the Alliance 
participants who stabilized the region and provided massive relief. The 
inscription ``IN DEFENSE OF HUMANITY''

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reinforces the objective of the action. The ribbon is 1\3/8\ inches in 
width. It is composed of the following vertical stripes: \15/32\ inches 
Old Glory Blue 67178; \7/64\ inch Scarlet 67111; \5/32\ inch White 
67101; \7/64\ inch Old Glory Blue 67178; \15/32\ inch Scarlet 67111.



Sec. 578.29  Afghanistan Campaign Medal.

    (a) The Afghanistan Campaign Medal is authorized by Public Law 108-
234, May 28, 2004 and Executive Order 13363, November 29, 2004. It is 
authorized for award to individuals who served in direct support of 
Operation ENDURING FREEDOM. The area of eligibility encompasses all land 
area of the country of Afghanistan and all air spaces above the land. 
The period of eligibility is on or after October 24, 2001 to a future 
date to be determined by the Secretary of Defense or the cessation of 
Operation ENDURING FREEDOM.
    (b) Criteria. Service members qualified for the Global War on 
Terrorism Expeditionary Medal by reasons of service between October 24, 
2001 and February 28, 2005, in an area for which the Afghanistan 
Campaign Medal was subsequently authorized, shall remain qualified for 
that medal. Upon application, any such service member may be awarded the 
Afghanistan Campaign Medal in lieu of the Global War on Terrorism 
Expeditionary Medal for such service. No service member shall be 
entitled to both medals for the same act, achievement or period of 
service.
    (c) General. Service members must have been assigned, attached, or 
mobilized to units operating in the area of eligibility for 30 
consecutive days or for 60 non-consecutive days or meet one of the 
following criteria:
    (1) Be engaged in combat during an armed engagement, regardless of 
the time in the area of eligibility.
    (2) While participating in an operation or on official duties, is 
wounded or injured and requires medical evacuation from the area of 
eligibility.
    (3) While participating as a regularly assigned air crewmember 
flying sorties into, out of, within or over the area of eligibility in 
direct support of the military operations; each day of operations counts 
as one day of eligibility.
    (d) Rules. The following rules apply to award of the Afghanistan 
Campaign Medal:
    (1) The Afghanistan Campaign Medal may be awarded posthumously.
    (2) Only one award of this medal may be authorized for any 
individual.
    (3) Under no condition shall personnel or units receive the 
Afghanistan Campaign Medal, the Global War on Terrorism Expeditionary 
Medal, the Global War on Terrorism Service Medal, the Iraq Campaign 
Medal, or the Armed Forces Expeditionary Medal for the same action, time 
period or service.
    (e) Precedence. The Afghanistan Campaign Medal shall be positioned 
below the Kosovo Campaign Medal and above the Iraq Campaign Medal.
    (f) Description. On a bronze metal 1 \3/8\ inches (3.49 cm) in 
diameter above a range of mountains is a map of Afghanistan. Around the 
top is the inscription ``AFGHANISTAN CAMPAIGN.'' On the reverse, a 
radiating demisun superimposed by an eagle's head couped. Inscribed 
across the bottom half of the reverse side are the three lines ``FOR 
SERVICE'' ``IN'' ``AFGHANISTAN'' all enclosed by a laurel wreath. The 
ribbon is 1 \3/8\ inches wide and consists of the following stripes: \5/
64\ inch Emerald 67128: \3/16\ inch Scarlet 67111; \ 1/8\ inch Black 
67138; \7/32\ inch White 67101; \1/32\ inch Scarlet 67111; \1/32\ inch 
White 67101; \1/32\ inch Old Glory Blue 67178; \1/32\ inch White 67101; 
\1/32\ inch Scarlet 67111; \7/32\ inch White 67101; \1/8\ inch Black 
67138; \3/16\ inch Scarlet 67111; \5/64\ inch Emerald 67128.



Sec. 578.30  Iraq Campaign Medal.

    (a) The Iraq Campaign Medal is authorized by Public Law 108-234, May 
28, 2004 and Executive Order 13363, November 29, 2004. It is authorized 
for award to individuals who have served in direct support of Operation 
IRAQI FREEDOM. The area of eligibility encompasses all land area of the 
country of Iraq, and the contiguous water area out to 12 nautical miles, 
and all air spaces above the land area of Iraq and above the contiguous 
water area out to 12 nautical miles. The period of eligibility is on or 
after March 19, 2003 to a future date to be determined by the

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Secretary of Defense or the cessation of Operation IRAQI FREEDOM.
    (b) Criteria. Service members qualified for the Global War on 
Terrorism Expeditionary Medal by reasons of service between March 19, 
2003 and February 28, 2005, in an area for which the Iraq Campaign Medal 
was subsequently authorized, shall remain qualified for that medal. Upon 
application, any such service member may be awarded the Iraq Campaign 
Medal in lieu of the Global War on Terrorism Expeditionary Medal for 
such service. No service member shall be entitled to both medals for the 
same act, achievement or period of service.
    (c) General. Service members must have been assigned, attached, or 
mobilized to units operating in the area of eligibility for 30 
consecutive days or for 60 non-consecutive days or meet one of the 
following criteria:
    (1) Be engaged in combat during an armed engagement, regardless of 
the time in the area of eligibility.
    (2) While participating in an operation or on official duties, is 
wounded or injured and requires medical evacuation from the area of 
eligibility.
    (3) While participating as a regularly assigned air crewmember 
flying sorties into, out of, within or over the area of eligibility in 
direct support of the military operations; each day of operations counts 
as one day of eligibility.
    (d) Rules. The following rules apply to award of the Iraq Campaign 
Medal:
    (1) The Iraq Campaign Medal may be awarded posthumously.
    (2) Only one award of this medal may be authorized for any 
individual.
    (3) Under no condition shall personnel receive the Iraq Campaign 
Medal, the Global War on Terrorism Expeditionary Medal, the Global War 
on Terrorism Service Medal, the Iraq Campaign Medal, or the Armed Forces 
Expeditionary Medal for the same action, time period or service.
    (e) Precedence. The Iraq Campaign Medal shall be positioned below 
the Afghanistan Campaign Medal and above the Global War on Terrorism 
Expeditionary Medal.
    (f) Description. On a bronze metal \1/38\ inches (3.49 cm) in 
diameter the relief of Iraq, surmounted by two lines throughout, 
surmounting a palm wreath. Above is the inscription ``IRAQ CAMPAIGN.'' 
On the reverse, the Statue of Freedom surmounting a sunburst, encircled 
by two scimitars points down crossed at tip of blades, all above the 
inscription ``FOR SERVICE IN IRAQ.'' The ribbon is 1\3/8\ inches wide 
and consists of the following stripes: \5/32\ inch Scarlet 67111; \1/16\ 
inch White 67101; \1/32\ inch Green 67129; \1/16\ inch White 67101; \5/
32\ inch Black 67138; \7/16\ inch Chamois 67142; \5/32\ inch Black 
67138; \1/16\ inch White 67101; \1/32\ inch Green 67129; \1/16\ inch 
White 67101; \5/32\ inch Scarlet 67111.



Sec. 578.31  Global War on Terrorism Expeditionary Medal.

    (a) The Global War on Terrorism Expeditionary Medal (GWOTEM) was 
established by Executive Order 13289, March 12, 2003. It is authorized 
for award to members of the Armed Forces of the United States who deploy 
abroad for service in the Global War on Terrorism operations on or after 
September 11, 2001 to a date to be determined. Operations approved for 
the GWOTEM are provided in paragraph (g) of this section.
    (b) Procedures. (1) The Secretary of Defense in consultation with 
the Chairman, Joint Chiefs of Staff will designate approved operations 
on a case-by-case basis when requested by the Combatant Commanders.
    (2) The general area of eligibility (AOE) encompasses all foreign 
land, water, and air spaces outside the fifty states of the United 
States and outside 200 nautical miles of the shores of the United 
States. The Secretary of Defense, when recommended by the Chairman, 
Joint Chiefs of Staff, shall designate the specific area of eligibility 
per qualifying operation.
    (3) Because counter-terrorism operations are global in nature, the 
AOE for an approved operation may be deemed to be non-contiguous. The 
Combatant Commander has the authority to approve award of the medal for 
units and personnel deployed within his or her theater. Under no 
conditions will units or personnel within the United States, the general 
region excluded in paragraph (b)(2) this section be deemed eligible for 
the GWOTEM.
    (c) Criteria. Service members must be assigned, attached or 
mobilized to a

[[Page 397]]

unit participating in designated operations for 30 consecutive days or 
60 nonconsecutive days in the AOE, or meet one of the following 
criteria:
    (1) Be engaged in actual combat against the enemy and under 
circumstances involving grave danger of death or serious bodily injury 
from enemy action, regardless of time in the AOE.
    (2) While participating in the designated operation, regardless of 
time, is killed, wounded or injured requiring medical evacuation from 
the AOE.
    (3) Service members participating as a regularly assigned air crew 
member flying sorties into, out of, within, or over the AOE in direct 
support of Operations Enduring Freedom and/or Iraqi Freedom are eligible 
to qualify for award of the GWOTEM. Each day that one or more sorties 
are flown in accordance with these criteria shall count as one day 
toward the 30 or 60 day requirement.
    (d) General. (1) The GWOTEM may be awarded posthumously.
    (2) Service members may be awarded both the GWOTEM and the Global 
War on Terrorism Service Medal (GWOTSM) if they meet the criteria for 
both awards; however, the qualifying period of service used to establish 
eligibility for one award cannot be used to justify eligibility for the 
other award.
    (3) Order of Precedence. The GWOTEM will be worn before the GWOTSM 
and both shall directly follow the Kosovo Campaign Medal (KCM) (i.e., 
KCM, GWOTEM, GWOTSM, Korea Defense Service Medal (KDSM), etc.).
    (4) Subsequent awards. Only one award of the GWOTEM may be 
authorized to any individual; therefore, an appurtenance (e.g., oak leaf 
cluster, bronze service star) is authorized for wear on the GWOTEM.
    (e) [Reserved]
    (f) Battle stars. (1) Battle stars may be applicable for service 
members who were engaged in actual combat against the enemy and under 
circumstances involving grave danger of death or serious bodily injury 
from enemy action. Only the Combatant Commander can initiate a request 
for a Battle Star. The request will contain the specific unit(s) or 
individual(s) engaged in actual combat, the duration for which actual 
combat was sustained, and a detailed description of the actions against 
the enemy.
    (2) The Chairman, Joint Chiefs of Staff (CJCS) is the approving 
authority for Battle Stars.
    (3) The approval of battle stars by the CJCS is the authority for 
the senior Army commander in the combat theater to approve campaign 
participation credit. See paragraph 7-18, Table 7-1 and Figure 7-1, AR 
600-8-22.
    (g) Approved operations. Initial award of the GWOTEM is limited to 
service members deployed abroad in Operations ENDURING FREEDOM and IRAQI 
FREEDOM in the following designated specific geographic areas of 
eligibility AOE: Algeria, Bahrain, Bosnia-Herzegovina, Bulgaria 
(Bourgas), Chad, Colombia, Crete, Guantanamo Bay Cuba, Cyprus, Diego 
Garcia, Djibouti, Egypt, Eritrea, Ethiopia, Georgia, Hungary, Iran, 
Israel, Jordan, Kazakhstan, Kenya, Kosovo (only specific GWOT operations 
not associated with operations qualifying for the Kosovo Campaign 
Medal), Kuwait, Kyrgyzstan, Lebanon, Mali, Mauritania, Niger, Oman, 
Pakistan, Philippines, Qatar, Romania (Constanta), Saudia Arabia, 
Somalia, Syria, Tajikistan, Turkey, Turkmenistan, Uganda, United Arab 
Emirates, Uzbekistan, Yemen, that portion of the Arabian Sea north of 10 
degrees north latitude and west of 68 degrees longitude, Bab El Mandeb, 
Gulf of Aden, Gulf of Aqaba, Gulf of Oman, Gulf of Suez, that portion of 
the Mediterranean Sea east of 28 degrees east longitude, Mediterranean 
Sea (``Boarding And Searching'' Vessel Operations), Persian Gulf, Red 
Sea, Strait of Hormuz, and the Suez Canal.
    (h) Description--(1) Ribbon. The different topographies our Armed 
Forces operate in are represented by the colors tan for the deserts, 
green for the grass or woodlands, blue for the waterways and white for 
the snowy regions. Blue also alludes the atmosphere, the zone of 
airstrikes. Gold is emblematic of excellence and high achievement. The 
red, white and blue stripes at center highlight this nation's role in 
the global war on terrorism.
    (2) Obverse. The eagle, strong, keen of eye and vigilant, represents 
the United

[[Page 398]]

States and our resolve to make the world safe from the terrorism. The 
polestar and globe highlight the worldwide scope of this mission to 
secure our freedoms.
    (3) Reverse. The torch and fasces denote freedom and justice. The 
laurel represents honor and high esteem.



Sec. 578.32  Global War on Terrorism Service Medal.

    (a) The Global War on Terrorism Service Medal (GWOTSM) was 
established by Executive Order 13289, March 12, 2003. It is authorized 
for award to members of the Armed Forces of the United States who have 
participated in or served in support of the Global War on Terrorism 
operations outside of the designated areas of eligibility defined in 
Sec. 578.31 of this part, on or after September 11, 2001 to a future 
date to be determined. Operations approved for the GWOTSM are provided 
in paragraph (e) of this section.
    (b) Procedures. (1) The Chairman, Joint Chiefs of Staff will 
designate approved operations on a case-by-case basis when requested by 
the Combatant Commanders.
    (2) At the request of the Combatant Commander, the Chairman, Joint 
Chiefs of Staff may approve specific efforts that are rendered by 
unit(s) or individual(s) that meet all other requirements for award of 
the Global War on Terrorism Service Medal however, are not issued 
specific orders for the approved operation(s).
    (3) Battalion commanders and commanders of separate units have the 
authority to award the Global War on Terrorism Service Medal for 
approved operations to units and personnel within his or her command.
    (c) Criteria. Service members must be assigned, attached; or 
mobilized to a unit supporting designated operations listed in Sec. 
578-31 of this part for 30 consecutive days or for 60 nonconsecutive 
days, or meet one of the following criteria:
    (1) Initial award of the Global War on Terrorism Service Medal will 
be limited to airport security operations from September 27, 2001 
through May 31, 2002 and service members who supported Operations NOBLE 
EAGLE, ENDURING FREEDOM, and IRAQI FREEDOM.
    (2) All service members on active duty, including Reserve Components 
mobilized, or National Guardsmen activated on or after September 11, 
2001 to a date to be determined having served 30 consecutive days or 60 
nonconsecutive days are authorized the Global War on Terrorism Service 
Medal.
    (d) General. (1) The GWOTSM may be awarded posthumously.
    (2) Service members may be awarded both the GWOTEM and the GWOTSM if 
they meet the requirements of both awards; however, the qualifying 
period used to establish eligibility for one cannot be used to justify 
eligibility for the other award.
    (3) Order of Precedence. The GWOTSM will be worn directly below the 
GWOTEM and both shall directly follow the Kosovo Campaign Medal.
    (4) Subsequent awards. Only one award of the GWOTSM may be 
authorized for any individual; therefore, an appurtenance (e.g., oak 
leaf cluster, bronze service star) is not authorized.
    (e) Approved operations. Initial approved operations for the Global 
War on Terrorism Service Medal are Airport Security Operations from 
September 27, 2001 through May 31, 2002 and Operations NOBLE EAGLE, 
ENDURING FREEDOM and IRAQI FREEDOM.
    (f) Description--(1) Ribbon. The dark red stripe denotes sacrifice. 
The gold stripes symbolize achievement. The blue stripes signify 
justice.
    (2) Obverse. The obverse has a stylized globe, the universal symbol 
of the world. Surmounting the globe is six arrows exemplifying fighting 
power and readiness, also representing the area that terrorism is being 
fought; diplomatic, military, financial, intelligence, investigative and 
law enforcement. Below, a olive branch exemplifies peace and an oak 
branch emphasizing strength and protection.
    (3) Reverse. The reverse is inscribed `FOR INTERNATIONAL RESPONSES 
AGAINST TERRORISM' between three stars commemorate achievement and below 
the year `2002'.

[[Page 399]]



Sec. 578.33  Korea Defense Service Medal.

    (a) Eligibility Requirements. The Korea Defense Service Medal (KDSM) 
was authorized by Section 543, 2003 National Defense Authorization Act. 
It is awarded to members of the Armed Forces who have served on active 
duty in support of the defense of the Republic of Korea from July 28, 
1954 to a date to be determined.
    (1) The area of eligibility encompasses all land area of the 
Republic of Korea, and the contiguous water out to 12 nautical miles, 
and all air spaces above the land and water areas.
    (2) The KDSM period of eligibility is July 28, 1954, to a future 
date to be determined by the Secretary of Defense.
    (b) Specific. Service members must have been assigned, attached, or 
mobilized to units operating in the area of eligibility for 30 
consecutive or for 60 nonconsecutive days, or meet the following 
criteria:
    (1) Be engaged in combat during an armed engagement, regardless of 
the time in the area of eligibility.
    (2) Is wounded or injured in the line of duty and requires medial 
evacuation from the area of eligibility.
    (3) While participating as a regularly assigned air crew member 
flying sorties into, out of, or within the area of eligibility in direct 
support of military operations. Each day that one or more sorties are 
flown in accordance with these criteria shall count as one day toward 
the 30 or 60-day requirement.
    (4) Personnel who serve in operations and exercises conducted in the 
area of eligibility are considered eligible for the award as long as the 
basic time criteria is met. Due to the extensive time period for KDSM 
eligibility, the nonconsecutive service period for eligibility remains 
cumulative throughout the entire period.
    (c) Awarding. (1) The KDSM may be awarded posthumously.
    (2) Only one award of the KDSM is authorized for any individual.
    (d) Precedence. The KDSM shall be positioned below the Global War on 
Terrorism Service Medal in precedence; and shall be positioned above the 
Armed Forces Service Medal.
    (e) Description. The ribbon is dark green represents the land of 
Korea, blue indicates overseas service and commitment to achieving 
peace. Gold denotes excellence, white symbolizes idealism and integrity. 
The obverse is a bronze-color disc bearing a Korean ``circle dragon'' 
within an encircling scroll inscribed ``Korea Defense Service Medal'' 
with, in base, two sprigs, laurel to dexter side, bamboo to sinister. 
The four-clawed dragon is a traditional symbol of Korea and represents 
intelligence and strength of purpose. The sprig of laurel denotes 
honorable endeavor and victory, the bamboo refers to the land of Korea. 
The reverse is a representation of the land mass of Korea surmounted by 
two swords points up saltirewise within a circlet garnished of five 
points. The swords placed saltirewise over a map of Korea signify 
defense of freedom in that country and the readiness to engage in combat 
to that end. The circlet enclosing the device recalls the forms of five-
petal symbols common in Korean armory.



Sec. 578.34  Armed Forces Service Medal.

    (a) Criteria. The Armed Forces Service Medal (AFSM) was established 
by Executive Order 12985, January 11, 1996. It is awarded to members of 
the Armed Forces of the United States who, after June 1, 1992 meet the 
following criteria:
    (1) Participate, or have participated, as members of U.S. military 
units, in a U.S. military operation that is deemed to be a significant 
activity; and
    (2) Encounter no foreign armed opposition or imminent threat of 
hostile action.
    (b) Eligibility requirements. To qualify for award of the AFSM 
service members must be bona fide members of a unit participating for 
one or more days in the operation within the designated area of 
eligibility, or meet one or more of the following criteria:
    (1) Be engaged in direct support for 30 consecutive days in the area 
of eligibility (or for the full period when an operation is of less than 
30 days duration) or for 60 nonconsecutive days provided this support 
involves entering the area of eligibility.
    (2) Participate as a regularly assigned crew member of an aircraft 
flying into, out of, within, or over the

[[Page 400]]

area of eligibility in support of the operation.
    (c) Qualifying operations. (1) The AFSM may be authorized for 
significant U.S. military activities for which no other U.S. campaign or 
service medal is appropriate, such as--
    (i) Peacekeeping operations.
    (ii) Prolonged humanitarian operations.
    (2) The AFSM may be awarded for U.S. military operations in direct 
support of the United Nations (UN) or the North Atlantic Treaty 
Organization (NATO), and for operations of assistance to friendly 
foreign nations.
    (d) General criteria. (1) The AFSM provides recognition to 
participants who deploy to the designated area of eligibility for the 
qualifying operation. Outstanding or meritorious performance of non-
deployed or remotely located support units and individuals is not 
justification for award of the AFSM. Such performance may be recognized 
by appropriate unit and/or individual decorations.
    (2) Because the AFSM may be awarded for a prolonged humanitarian 
operation, distinction between the AFSM and the Humanitarian Service 
Medal (HSM) must be maintained. The following rules apply:
    (i) The HSM is an individual U.S. service medal, presented to 
individuals who are physically present at the site of immediate relief 
and who directly contribute to and influence the humanitarian action. 
The HSM is only awarded for service during the identified ``period of 
immediate relief''; eligibility for the HSM terminates once (if) the 
humanitarian action evolves into an ``established ongoing operation 
beyond the initial emergency condition.''
    (ii) The AFSM is a theater award, authorized for presentation to all 
participants who meet the eligibility requirements established for a 
designated operation.
    (iii) For operations in which all deployed participants are awarded 
the HSM and for which the ``period of immediate relief'' coincides with 
the duration of significant deployed operations, award of the AFSM is 
not authorized.
    (iv) Humanitarian operations for which some (or all) participants 
are awarded the HSM, which continue beyond the ``period of immediate 
relief,'' may be recognized by award of the AFSM. The AFSM may be 
awarded for the entire period of the operation; individuals awarded the 
HSM for direct participation during the ``period of immediate relief'' 
are also eligible for the AFSM if awarded.
    (e) Limitations on awarding the AFSM. The following limitations 
apply when determining whether the AFSM should be awarded for a 
particular mission or operation or when determining eligibility for 
award to an individual:
    (1) The AFSM shall be awarded only for operations for which no other 
U.S. campaign or service medal is approved.
    (2) For operations in which personnel for only one Service 
participates, the AFSM shall be awarded only if there is no other 
suitable award available to that Service.
    (3) The military service of the individual on which qualification 
for the award of the AFSM is based shall have been honorable.
    (4) Award of the AFSM is not authorized for participation in 
national or international exercises.
    (5) The AFSM will not be awarded for NATO or United Nations 
operations not involving significant, concurrent U.S. military support 
operations.
    (f) Approval and designation of area of eligibility--(1) Approval of 
operations. The Chairman of the Joint Chiefs of Staff (CJCS) shall 
designate U.S. military operations subsequent to June 1, 1992 that 
qualify for the AFSM.
    (2) Designation of area of eligibility. (i) The CJCS shall specify 
the qualifying area of eligibility for award of the AFSM.
    (ii) Prior to submission to the CJCS for consideration, the proposed 
qualifying area of eligibility will be coordinated with the Joint Chiefs 
of Staff and the Commander in Chiefs (CINCs) to ensure all appropriate 
locations are included.
    (iii) Upon the recommendation of a CINC and in coordination with the 
Joint Chiefs of Staff, the CJCS may adjust the area of eligibility to 
reflect changes in the location, scope and degree of participation of 
forces deployed

[[Page 401]]

to, and in direct support of, an operation for which the AFSM has been 
awarded.
    (g) Subsequent awards. No more than one medal shall be awarded to 
any one Service member. One bronze service star is worn to denote second 
and subsequent awards of the AFSM. To be eligible for additional awards, 
service must be rendered in more than one designated area and period of 
service. No two awards will be made for service in the same designated 
area. (Service stars are described in Sec. 578.61)
    (h) Manner of wearing. The AFSM shall take precedence immediately 
after the Southwest Asia Service Medal.
    (i) Posthumous awards. The AFSM may be awarded posthumously to 
eligible soldier's primary next of kin (primary next of kin is defined 
in the Glossary).
    (j) Designated U.S. military operations, area and dates are as 
follows:
    (1) Operations PROVIDE PROMISE, JOINT ENDEAVOR, ABLE SENTRY, DENY 
FLIGHT, MARITME MONITOR, and SHARP GUARD, from November 20, 1995 to 
December 19, 1996.
    (2) Operation JOINT GUARD from December 20, 1996 to June 20, 1998.
    (3) Operation JOINT FORGE from June 21, 1998 to a date to be 
determined.
    (4) Operation UNITED NATIONS MISSION in HAITI; U.S. FORCES in HAITI 
and U.S. SUPPORT GROUP-HAITI from April 1, 1995 to January 31, 2000.
    (5) Operation PROVIDE COMFORT from December 1, 1995 to December 31, 
1996.
    (k) See AR 672-20 for the Armed Forces Civilian Service Medal.
    (l) Description. The medal is Bronze, 1\1/4\ inches in diameter with 
a demi-torch (as on the Statue of Liberty) encircled at the top by the 
inscription ``ARMED FORCES SERVICE MEDAL'' on the obverse side. On the 
reverse side is an eagle (as on the seal of the DOD) between a wreath of 
laurel in base and the inscription ``IN PURSUIT OF DEMOCRACY'' at the 
top. The ribbon is 1\3/8\ inches wide and consists of the following 
stripes: \1/16\ inch Goldenlight 67107; \1/8\ inch Jungle Green 67191; 
\1/8\ inch Green 67129; \1/8\ inch Mosstone 67127; \1/8\ inch 
Goldenlight; Center \1/4\ inch Bluebird 67117; \1/8\ inch Goldenlight; 
\1/8\ inch Mosstone; \1/8\ inch Green; \1/8\ inch Jungle Green; and \1/
16\ inch Goldenlight.



Sec. 578.35  Humanitarian Service Medal.

    (a) Criteria. The Humanitarian Service Medal (HSM) was established 
by Executive Order 11965, January 19, 1977. It is awarded to members of 
the Armed Forces of the United States who, after April 1, 1975, 
distinguished themselves by meritorious direct participation in a DOD 
approved significant military act or operation of a humanitarian nature. 
It is not awarded for participation in domestic disturbances involving 
law enforcement, equal rights to citizens, or protection of properties.
    (b) To be eligible, a service member must meet the following 
requirements:
    (1) Must be on active duty at the time of direct participation in a 
DOD approved humanitarian act or operation. ``Active duty'' means full-
time duty in the active military service of the United States. It 
includes duty on the active duty list, full-time training duty, annual 
training duty, and attendance, while in the active military service, at 
a school designated as a Service school by law or by the Secretary of 
the Military Department concerned per 10 U.S.C. 101(22). This includes 
service as a cadet at the U.S. Military Academy. Members of the Army 
National Guard are eligible provided that the use of active forces has 
been authorized in the act or operation.
    (2) Must have directly participated in the humanitarian act or 
operation within the designated geographical area of operation and 
within specified time limits. ``Direct participation'' is defined as 
``hands on'' activity at the site or sites of the military act or 
operation. Specifically excluded from eligibility for this medal are 
personnel or elements remaining at geographically separated military 
headquarters.
    (3) Must provide evidence which substantiates direct participation 
in a DOD approved humanitarian act or operation except when by-name 
eligibility lists are published. Acceptable evidence includes the 
following:
    (i) Certificates, letters of commendation or appreciation.

[[Page 402]]

    (ii) Officer or enlisted evaluation reports.
    (iii) Copies of TDY or special duty orders reflecting participation 
within the specified timeframe and geographical location cited.
    (iv) After-action reports, situation reports, rosters, unit files or 
any other records or documentation which verify the service members 
participation.
    (v) Statements from commanders, supervisors, or other officials who 
were in a position to substantiate the service members direct 
participation in the area of operation.
    (c) The HSM is a U.S. service medal and does not preclude or 
conflict with other service medals or decorations awarded on the basis 
of valor, achievement or meritorious service.
    (d) No person will be awarded more than one HSM for participation in 
the same military act or operation.
    (e) A service star will be worn to denote direct participation in 
second or subsequent humanitarian acts or operations. The approved HSM 
operations are provided in AR 600-8-22 and the HQDA Military Awards 
Branch Web site: https://www.perscomonline.army.mil/tagd/awards/HSM.doc.
    (f) See AR 672-20 for Civilian Award for Humanitarian Service.
    (g) Description. The medal is Bronze, 1\1/4\ inches in diameter, 
surmounted by an open hand, palm up, extending to the upper left. On the 
reverse is a sprig of oak in a left oblique slant between the 
inscription ``FOR HUMANITARIAN SERVICE'' in three horizontal lines, and 
``UNITED STATES ARMED FORCES'' in an arc around the base. The ribbon is 
1\3/8\ inches wide and consists of the following stripes: \3/16\ inch 
Imperial Purple 67161; \1/16\ inch White 67101; \5/16\ inch Bluebird 
67117; \1/4\ inch Flag Blue 67124; \5/16\ inch Bluebird; \1/16\ inch 
White; and \3/16\ inch Imperial Purple.



Sec. 578.36  Military Outstanding Volunteer Service Medal.

    (a) Criteria. The Military Outstanding Volunteer Service Medal 
(MOVSM) was established by Executive Order 12830, January 9, 1993. It 
may be awarded to members of the Armed Forces of the United States and 
their Reserve Components, who subsequent to December 31, 1992, perform 
outstanding volunteer community service of a sustained, direct and 
consequential nature.
    (b) To qualify for award of the MOVSM a service member's volunteer 
service must meet the following requirements:
    (1) Be to the civilian community, to include the military family 
community.
    (2) Be significant in nature and produce tangible results.
    (3) Reflect favorably on the Military Service and the DOD.
    (4) Be of a sustained and direct nature.
    (c) While there is no specific time period to qualify for the MOVSM 
(for example, 500 hours of community service within 24 calendar months), 
approval authorities shall ensure the service to be honored merits the 
special recognition afforded by this medal. The MOVSM is intended to 
recognize exceptional community support over time and not a single act 
or achievement. Further, it is intended to honor direct support of 
community activities. For the purpose of this award, attending 
membership meetings or social events of a community service group is not 
considered qualifying service, while manning a community crisis action 
telephone line is considered qualifying service.
    (d) Approval authority for award of the MOVSM will be commanders 
(overseas and CONUS (continental United States)) serving in the rank of 
Lieutenant Colonel or higher. Before the recommendation is forwarded to 
the award approval authority, the recommender must certify that the 
service member meets the eligibility criteria for award of the MOVSM. 
Substantiating documentation, such as record of hours contributed, 
letters or certificates from activity supervisors, or other proof of the 
service member's volunteer services may be attached as enclosures to the 
recommendation.
    (e) Description. The medal is Bronze, 1\3/8\ inches in diameter 
bearing on the obverse, five annulets interlaced enfiled by a star and 
environed by a wreath of laurel. On the reverse is a sprig of oak 
between the inscription ``OUTSTANDING VOLUNTEER SERVICE'' at the top and 
``UNITED STATES

[[Page 403]]

ARMED FORCES'' at the bottom. The ribbon is 1\3/8\ inches wide and 
consists of the following stripes: \1/8\ inch Bluebird 67117; \1/8\ inch 
Goldenlight 67107; \3/16\ inch Bluebird; \1/16\ inch Green 67129; \5/32\ 
inch Goldenlight; center \1/16\ inch Green; \5/32\ inch Goldenlight; \1/
16\ inch Green; \3/16\ inch Bluebird; \1/8\ inch Goldenlight; and \1/8\ 
inch Bluebird.



Sec. 578.37  Army Good Conduct Medal.

    (a) Criteria. The Army Good Conduct Medal (AGCM) was established by 
Executive Order 8809, June 28, 1941 and was amended by Executive Order 
9323, 1943 and by Executive Order 10444, April 10, 1953. It is awarded 
for exemplary behavior, efficiency, and fidelity in active Federal 
military service. It is awarded on a selective basis to each soldier who 
distinguishes himself or herself from among his or her fellow soldiers 
by his exemplary conduct, efficiency, and fidelity throughout a 
specified period of continuous enlisted active Federal military service. 
There is no right or entitlement to the medal until the immediate 
commander has approved the award and the award has been announced in 
permanent orders.
    (b) Personnel eligible: (1) Active Component enlisted soldiers.
    (2) Active Guard Reserve (AGR) enlisted personnel serving on 
extended periods of active duty (other than for training) under 10 
U.S.C. and 32 U.S.C. are eligible for award of the AGCM for qualifying 
service beginning on or after September 1, 1982, provided no period of 
the service has been duplicated by the same period of service for which 
the soldier has been awarded the Army Reserve Components Achievement 
Medal (ARCAM). The AGCM qualification period may commence anytime during 
the 3 years immediately preceding the September 1, 1982 effective date 
provided no portion of service for the AGCM is included in a period of 
service for which the ARCAM was awarded.
    (3) Retroactively to eligible Army of the United States (AUS) 
enlisted personnel.
    (4) Other Army enlisted personnel as may be directed by the 
Secretary of the Army.
    (c) Awarding authority. Unit commanders are authorized to award the 
AGCM to enlisted personnel serving under their command jurisdiction who 
meet the established criteria. Send requests for award of the AGCM for 
former soldiers to NPRC (see Sec. 578.8(e) for address). Requests for 
award of the AGCM for Army National Guard and Army Reserve members for 
periods of active duty based on qualifying prior active Federal military 
service (Regular Army and AUS) will be forwarded through normal command 
channels to the Commander, USA HRC-St. Louis, ATTN: ARPC-PSP-R, One 
Reserve Way, St. Louis, MO 63132-5200. Separation transfer points will 
review the records of enlisted personnel being separated to determine 
whether they qualify for the AGCM. Where possible, make a reasonable 
effort to contact the unit commander before awarding the medal to 
qualified members.
    (d) Basis for approval. The immediate unit commander's decision to 
award the AGCM will be based on his or her personal knowledge and of the 
individual's official records for periods of service under previous 
commanders during the period for which the award is to be made. The lack 
of official disqualifying comment by such previous commanders qualifies 
the use of such period toward the award by the current commander.
    (e) Qualifying periods of service. Any one of the following periods 
of continuous enlisted active Federal military service qualifies for 
award of the AGCM or of an AGCM Clasp (see paragraph (h) of this section 
in conjunction with the criteria in paragraph (f) of this section):
    (1) Each 3 years completed on or after August 27, 1940.
    (2) For first award only, 1 year served entirely during the period 
December 7, 1941 to March 2, 1946.
    (3) For first award only, upon termination of service on or after 
June 27, 1950, of less than 3 years but more than 1 year.
    (4) For first award only, upon termination of service, on or after 
June 27, 1950, of less than 1 year when final separation was by reason 
of physical disability incurred in the line of duty.
    (5) For first award only, for those individuals who died before 
completing 1 year of active Federal military service

[[Page 404]]

if the death occurred in the line of duty.
    (f) Character of service. Throughout a qualifying period, each 
enlisted soldier must meet all of the following criteria for an award:
    (1) The immediate commander evaluates the soldier's character as 
above reproach.
    (2) The record of service indicates that the soldier has--
    (i) Willingly complied with the demands of the military environment.
    (ii) Been loyal and obedient to their superiors.
    (iii) Faithfully supported the goals of their organization and the 
Army.
    (iv) Conducted themselves in such an exemplary manner as to 
distinguish them from their fellow soldiers.
    (3) While any record of non-judicial punishment could be in conflict 
with recognizing the soldier's service as exemplary, such record should 
not be viewed as automatically disqualifying. The commander analyzes the 
record, giving consideration to the nature of the infraction, the 
circumstances under which it occurred and when. Conviction by court-
martial terminates a period of qualifying service; a new period begins 
following the completion of sentence imposed by court-martial.
    (4) In terms of job performance, the soldier's efficiency must be 
evaluated and must meet all requirements and expectations for that 
soldier's grade, Military Occupational Specialty (MOS), and experience.
    (5) Individuals whose retention is not warranted under standards 
prescribed in AR 604-10, or for whom a bar to reenlistment has been 
approved under the provisions of AR 601-280, chapter 6 (specifically for 
the reasons enumerated in paragraphs 6-4a, b, and d), are not eligible 
for award of the AGCM.
    (g) Additional implementing instructions. (1) Qualifying periods of 
service (paragraph (e) of this section) must be continuous enlisted 
active Federal military service. When an interval in excess of 24 hours 
occurs between enlistments, that portion of service before to the 
interruption is not creditable toward an award.
    (2) Release from enlisted status for entry into service as a cadet 
or midshipman at any U.S. service academy, or discharge from enlisted 
status for immediate entry on active duty in an officer status is 
considered termination of service for awarding the AGCM. A minimum of 12 
months enlisted service is required and must have been completed for 
first award of the AGCM; otherwise, the full 3 years of qualifying 
enlisted service is required.
    (3) A qualified person scheduled for separation from active Federal 
military service should receive the award at his or her last duty 
station. Such award is authorized up to 30 days before the soldier's 
departure en route to a separation processing installation in CONUS or 
overseas. Orders announcing such advance awards will indicate the 
closing date for the award prefixed with date of separation, on or 
about, as the response to the ``Dates or period of service'' lead line. 
Example: From October 31, 1977 to date of separation on or about October 
30, 1980. For soldiers who are granted terminal leave prior to 
retirement or End Tour of Service (ETS), orders awarding second and 
subsequent awards of the AGCM may be issued up to 90 days before 
retirement or ETS date.
    (4) An award made for any authorized period of less than 3 years 
must be for the total period of obligated active Federal military 
service. This applies to first award only, all other awards of the AGCM 
require 3 full years qualifying service.
    (5) Discharge under provisions of AR 635-200 for immediate 
(re)enlistment is not termination of service.
    (h) Disqualification for the Army Good Conduct Medal. (1) Conviction 
by courts-martial terminates a period of qualifying service; a new 
period begins the following day after completion of the sentence imposed 
by the court-martial.
    (2) Individual whose retention is not warranted under standards 
prescribed in AR 604-10, or for whom a bar to reenlistment has been 
approved under the provisions of AR 601-280, chapter 6 (specifically for 
the reasons enumerated in, paragraphs 6-4a, b, and d, AR 601-280), are 
not eligible for award of the AGCM.
    (3) In instances of disqualification as determined by the unit 
commander,

[[Page 405]]

the commander will prepare a statement of the rationale for his or her 
decision. This statement will include the period of disqualification and 
will be referred to the individual according to AR 600-37. The unit 
commander will consider the affected individual's statement. If the 
commander's decision remains the same, the commander will forward his or 
her statement, the individual's statement, and his or her consideration 
for filing in the individual's military record.
    (4) Disqualification for an award of the AGCM can occur at any time 
during a qualifying period (for example, when manner of performance or 
efficiency declines). The custodian of the soldier's record will 
establish the new ``beginning date'' for the soldier's eligibility for 
award of the AGCM, annotate the date on the soldier's DA Form 2-1, and 
submit an automated transaction. These procedures do not apply if the 
soldier is disqualified under the provisions of paragraph (h)(2) of this 
section.
    (i) Subsequent awards and clasps. A clasp is authorized for wear on 
the AGCM to denote a second or subsequent award. Clasps authorized for 
second and subsequent award are:

(1) Award: 2d; Clasp: Bronze, 2 loops;
(2) Award: 3d; Clasp: Bronze, 3 loops;
(3) Award: 4th; Clasp: Bronze, 4 loops;
(4) Award: 5th; Clasp: Bronze, 5 loops;
(5) Award: 6th; Clasp: Silver, 1 loop;
(6) Award: 7th; Clasp: Silver, 2 loops;
(7) Award: 8th; Clasp: Silver, 3 loops;
(8) Award: 9th; Clasp: Silver, 4 loops;
(9) Award: 10th; Clasp: Silver, 5 loops;
(10) Award: 11th; Clasp: Gold, 1 loop;
(11) Award: 12th; Clasp: Gold, 2 loops;
(12) Award: 13th; Clasp: Gold, 3 loops;
(13) Award: 14th; Clasp: Gold, 4 loops; and
(14) Award: 15th; Clasp: Gold, 5 loops.

    (j) Army Good Conduct Medal certificate policy. (1) The DA Form 4950 
(Good Conduct Medal Certificate) may be presented to enlisted soldiers 
only on the following occasions:
    (i) Concurrent with the first award of the AGCM earned on or after 
January 1, 1981.
    (ii) Concurrent with retirement on or after January 1, 1981.
    (2) When presented at retirement, the DA Form 4950 will reflect the 
last approved award of the AGCM earned by the soldier before retirement. 
The number of the last earned will be centered immediately beneath the 
line ``THE GOOD CONDUCT MEDAL;'' for example, ``Sixth Award.'' The 
period shown on the certificate will be the period cited in the last 
award earned by the soldier. The words ``UPON HIS OR HER RETIREMENT'' 
may be typed below the soldier's name.
    (3) The DA Form 4950 will not be presented for second or subsequent 
awards of the AGCM except as provided in paragraph (j)(2) of this 
section.
    (4) DA Form 4950 is available from the U.S. Army Publications 
Distribution Center, St. Louis, MO.
    (k) Retroactive award. (1) Retroactive award to enlisted personnel, 
and to officer personnel who qualified in an enlisted status, is 
authorized provided evidence is available to establish qualification. 
Where necessary, to correct conflicting or duplicate awards, previous 
general or permanent orders may be revoked and new orders published, 
citing this paragraph as authority.
    (2) Requests for retroactive awards to enlisted persons which cannot 
be processed due to lack of information will be forwarded to Commander, 
U.S. Army Enlisted Records and Evaluation Center, Fort Benjamin 
Harrison, IN 46249-5301, by the commander having command jurisdiction. 
Upon receipt of eligibility information from U.S. Army Enlisted Records 
and Evaluation Center (USAEREC), the commander can take action to 
confirm retroactive award of the AGCM by publication of orders, or by 
informing the soldier of findings of ineligibility.
    (l) Description. The medal is Bronze, 1\1/4\ inches in diameter, 
with an eagle, wings spread, standing on a closed book and sword, 
encircled by the words ``EFFICIENCY HONOR FIDELITY''. On the reverse is 
a five-pointed star and a scroll between the words ``FOR GOOD'' and 
``CONDUCT'', surrounded by a wreath formed by a laurel branch on the 
left and an oak branch on the right. Clasps are placed on the ribbon to 
represent subsequent awards. The ribbon is 1\3/8\ inches ribbon 
consisting of the following stripes:\ 1/16\ inch Soldier Red 67157; \1/
16\ inch White 67101; \1/16\ inch Soldier Red; \1/16\ inch White; \1/16\ 
inch Soldier Red; \1/16\ inch White; center \5/8\

[[Page 406]]

inch Soldier Red; \1/16\ inch White; \1/16\ inch Soldier Red; \1/16\ 
inch White; \1/16\ inch Soldier Red; \1/16\ inch White; and \1/16\ inch 
Soldier Red.



Sec. 578.38  Army Reserve Components Achievement Medal.

    (a) Criteria. The Army Reserve Components Achievement Medal (ARCAM) 
was established by the Secretary of the Army on March 3, 1971 and 
amended by Department of the Army General Orders (DAGO) 4, 1974. It is 
awarded for exemplary behavior, efficiency, and fidelity while serving 
as a member of an Army National Guard (ARNG) or USAR troop program unit 
(TPU) or as an individual mobilization augmentee (IMA). The first design 
bears the inscription ``United States Army Reserve,'' the other design 
bears the inscription, ``Army National Guard.''
    (b) Personnel eligible. The ARCAM is authorized for award to Army 
personnel including Active Guard Reserve (AGR) officers in the rank of 
colonel and below. Individual must have been a member of an ARNG unit or 
USAR TPU, excluding enlisted soldiers in an AGR status. AGR enlisted 
soldiers are eligible for the AGCM under the provisions of Sec. 
578.37(b). The medal is also awarded to USAR soldiers serving as IMA 
after completing qualifying service and on recommendation of the unit 
commander or HQDA official to which the IMA is assigned.
    (c) Award approval authority. Approval authority for award of the 
ARCAM for ARNG units and USAR TPU soldiers is the soldier's unit 
commander. Commander, USA HRC-St. Louis, One Reserve Way, St. Louis, MO 
63132-5200, is the approval authority for award of the ARCAM to USAR IMA 
soldiers. Orders are not published for the award of this medal. Approved 
ARCAM is announced using an official memorandum. The records custodian 
will then annotate the records.
    (d) Peacetime and wartime applicability. The ARCAM is awarded to 
eligible Army Reserve Component soldiers during times of peace and war. 
However, during periods of war, the length of qualifying service is 
subject to change at the discretion of the Secretary of the Army.
    (e) Basis or criteria for approval. (1) Between March 3, 1972 and 
March 28, 1995, the medal was authorized on completion of 4 years' 
service with a Reserve Component unit. Individual must have completed 4 
years of qualifying service on or after March 3, 1972 and before March 
28, 1995. A qualifying year of service is one in which a Reserve soldier 
earns a minimum of 50 retirement points during his/her retirement year. 
Qualifying service for computation purposes is based only by retirement 
ending year dates.
    (2) Effective March 28, 1995, the period of qualifying service for 
award of the ARCAM is reduced from 4 to 3 years. That is, soldiers 
completing 3 years of qualified service on or after March 28, 1995 are 
eligible for ARCAM consideration. This change is not retroactive.
    (3) All awards of the ARCAM must be made under the following 
conditions:
    (i) Such years of qualifying service must have been consecutive. A 
period of more than 24 hours between Reserve enlistments or officer's 
service will be considered a break in service. Credit toward earning the 
award must begin anew after a break in service. Service while attending 
Officer Candidate School or Warrant Officer Candidate school will be 
considered enlisted service, and termination will occur when the soldier 
is commissioned or appointed a warrant officer.
    (ii) Although only unit service may be credited for award of this 
medal, consecutive Ready Reserve service between periods of unit service 
will not be considered as a break in service and service in the first 
unit may be added to service in the second unit to determine total 
qualifying service.
    (iii) Soldiers who are ordered to active duty in the AGR program 
will be awarded the ARCAM if they have completed 2 of the 3 years 
required (Army Good Conduct Medal eligibility starts on the effective 
date of the AGR order). Soldiers with less than 2 years will not receive 
an award. Service lost may be recovered if the soldier is separated 
honorably from the AGR program and reverts to troop program unit 
service, for example, a soldier serves 1 year and 6 months of qualifying 
service and is ordered to an AGR tour. This service is

[[Page 407]]

not sufficient for award of the ARCAM. When the soldier leaves the AGR 
program that 1 year and 6 months is granted towards the next award of 
the ARCAM. Only the State adjutant general may determine that the AGR 
service was not sufficiently honorable enough to revoke the previously 
earned time, regardless of the type of separation given.
    (iv) The member must have exhibited honest and faithful service as 
is in accordance with the standards of conduct, courage and duty 
required by law and customs of the service, of a member of the same 
grade as the individual to whom the standard is being applied.
    (4) A member must be recommended for the award by his or her unit 
commander whose recommendation is based on personal knowledge of the 
individual and the individual's official records of periods of service 
under prior commanders during the period for which the award is made.
    (5) A commander may not delay award or extend the qualifying period 
for misconduct. A determination that service is not honorable as 
prescribed negates the entire period of the award.
    (f) Unqualified service. (1) Service performed in the Reserve 
Components of the U.S. Air Force, Navy, Marine Corps, or Coast Guard may 
not be credited for award of the ARCAM.
    (2) Release from Army Reserve Component status for entry into 
service as a cadet or midshipman at any U.S. service academy or 
discharge from Army Reserve Component for immediate entry in the Regular 
Army, in an officer or enlisted status, is considered termination of 
service for the purpose of qualifying for the ARCAM.
    (3) Service while in an enlisted AGR status may not be credited for 
award of the ARCAM.
    (g) Subsequent awards and Oak Leaf Clusters. Second and succeeding 
awards of the ARCAM are denoted by Oak Leaf Clusters.
    (h) Description. The medal is Bronze, 1\1/4\ inches in diameter, 
consisting of a faceted twelve-pointed star with a beveled edge, the 
points surmounting a wreath of laurel and bearing on a disc within a 
smaller wreath of laurel, a torch between two swords crossed 
saltirewise, points up and flanked by two mullets. The reverse has the 
cuirass from the DA seal centered below ``ARMY NATIONAL GUARD'' or 
``UNITED STATES ARMY RESERVE'' and above ``FOR ACHIEVEMENT''. The ribbon 
is 1\3/8\ inches wide ribbon consisting of the following stripes: \5/16\ 
inch Old Gold 67105; \1/8\ inch Ultramarine Blue 67118; \1/16\ inch 
White 67101; center \3/8\ inch Scarlet 67111; \1/16\ inch White; \1/8\ 
inch Ultramarine Blue; and \5/16\ inch Old Gold.



Sec. 578.39  Army Reserve Components Overseas Training Ribbon.

    (a) Criteria. The Army Reserve Components Overseas Training Ribbon 
(ARCOTR) was established by the Secretary of the Army on July 11, 1984. 
It is awarded to members of the Reserve Components of the Army, (Army 
National Guard and U.S. Army Reserve), for successful completion of 
annual training (AT) or active duty for training (ADT) for a period not 
less than 10 consecutive duty days on foreign soil. ARNG and USAR 
soldiers who accompany the Reserve Component (RC) unit (including unit 
cells) to which they are assigned or attached as full-time unit support 
(FTUS) during overseas training are also eligible for the award.
    (b) Effective July 11, 1984, all members of the ARNG and USAR are 
eligible for this award if they were active Reserve status members of 
the Army National Guard, U.S. Army Reserve (not on active duty in the 
Active Army), or AGR FTUS soldiers at the time their unit underwent AT 
or ADT on foreign soil.
    (c) AGR personnel, not assigned to a TPU, are also eligible for 
award of the ARCOTR provided they are ordered overseas specifically as 
advance party to, simultaneously with, or in support of mop-up 
operations of RC units training overseas. Ten consecutive days overseas 
must be met. Other AGR members overseas for any other reason are not 
eligible for the ARCOTR.
    (d) The ARCOTR may be awarded retroactively to those personnel who 
successfully completed AT or ADT on foreign soil in a Reserve status 
prior to July 11, 1984 provided they have an active status as defined 
above on or after July 11, 1984.

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    (e) Soldiers must be credited with completion of at least 10 
consecutive duty days outside the 50 States, the District of Columbia 
and U.S. possessions and territories in the performance of duties in 
conjunction with Active Army, joint services, or Allied Forces. The day 
of departure counts; the day of return does not.
    (f) The ARCOTR is a training ribbon, which does not conflict with 
service medals or decorations.
    (g) Numerals will be used to denote second and subsequent awards of 
the ARCOTR. (See Sec. 578.61 Appurtenances to military decorations.)
    (h) Description. The ribbon is 1\3/8\ inches in width; however, it 
is mounted on the ribbon bar horizontally so that the horizontal center 
stripe is \3/32\ inch Old Glory Red with a \3/64\ inch White stripe on 
each side. The remainder of the ribbon is Ultramarine Blue.



Sec. 578.40  Overseas Service Ribbon.

    (a) Criteria. The Overseas Service Ribbon (OSR) was established by 
the Secretary of the Army on April 10, 1981. It is awarded to members of 
the U.S. Army for successful completion of overseas tours.
    (b) Effective August 1, 1981, all members of the Active Army, Army 
National Guard and Army Reserve in an active Reserve status are eligible 
for this award. The ribbon may be awarded retroactively to those 
personnel who were credited with a normal overseas tour completion 
before August 1, 1981 provided they had an Active Army status as defined 
above on or after August 1, 1981.
    (c) Soldiers must be credited with a normal overseas tour completion 
according to AR 614-30. Service members who had overseas service with 
another branch of service (U.S. Navy, Air Force, or Marine Corps) must 
be credited with a normal overseas tour completion by that service to 
qualify for award of the Army OSR.
    (d) Numerals will be used to denote second and subsequent awards of 
the OSR.
    (e) Posthumous award of the OSR. For first award of the OSR only, an 
individual may be posthumously awarded (on or after August 1, 1981) the 
OSR before completion of the overseas tour, provided the soldier's death 
is ruled ``Line of duty-Yes.''
    (f) Description. The Army Overseas Service ribbon is 1\3/8\ inches 
in with. It is composed of the following vertical stripes: \3/16\ inch 
National Flag Blue 67124, \5/16\ inch Grotto Blue 67165, \1/16\ inch 
Golden Yellow 67104, \1/4\ inch Brick Red 67113, \1/16\ inch Golden 
Yellow, \5/16\ inch Grotto Blue, and \3/16\ inch National Flag Blue.



Sec. 578.41  Army Service Ribbon.

    (a) Criteria. The Army Service Ribbon (ASR) was established by the 
Secretary of the Army on April 10, 1981. It is awarded to members of the 
U.S. Army for successful completion of initial entry training.
    (b) Effective August 1, 1981, all members of the Active Army, Army 
National Guard, and U.S. Army Reserve in an active Reserve status are 
eligible for this award. The ribbon may be awarded retroactively to 
those personnel who completed the required training before August 1, 
1981 provided they had an Active Army status as defined above on or 
after August 1, 1981.
    (c) Officers will be awarded this ribbon upon successful completion 
of their basic/orientation or higher level course. For those officer 
personnel assigned a specialty, special skill identifier, or MOS based 
on civilian or other service acquired skills, this ribbon will be 
awarded upon honorable completion of 4 months active service.
    (d) Enlisted soldiers will be awarded this ribbon upon successful 
completion of their initial MOS producing course. For those enlisted 
soldiers assigned a MOS based on civilian or other service acquired 
skills, this ribbon will be awarded on honorable completion of 4 months 
active service.
    (e) Only one award of the ASR is authorized, regardless of whether a 
soldier completes both officer and enlisted initial entry training.
    (f) For first award only, an individual may be posthumously awarded 
(on or after August 1, 1981) the Army Service Ribbon prior to completion 
of the requisite training or time in service, provided the soldier's 
death is ruled ``Line of duty-Yes.''
    (g) Description. The ribbon is 1\3/8\ inches in width. It is 
composed of the

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following vertical stripes: \7/32\ inch Scarlet 67111, 5/32 Orange 
67110, \3/32\ inch Golden Yellow 67104, \1/8\ inch Emerald 67128, 
Ultramarine Blue 67118, \1/8\ inch Emerald, \3/32\ inch Golden Yellow, 
\5/32\ inch Orange, and \7/32\ inch Scarlet.



Sec. 578.42  Noncommissioned Officer Professional Development Ribbon.

    (a) Criteria. The Noncommissioned Officer (NCO) Professional 
Development Ribbon (NPDR) was established by the Secretary of the Army 
on April 10, 1981. It is awarded to members of Active Army, ARNG, and 
USAR soldiers for successful completion of designated NCO professional 
development courses.
    (b) Subsequent awards. The NPDR consist of the basic ribbon with 
numeral devices of 2, 3, or 4, which signify satisfactory completion of 
the respective levels of NCO professional development courses. Numerals 
used in conjunction with this service ribbon are the same type as those 
used for subsequent awards of the Air Medal.
    (c) Policy. (1) A change approved in February 1989 completely 
revamped the wear policy of numerals on ribbons and award suspension 
elements. Also, simultaneously U.S. Army Training and Doctrine Command 
(TRADOC) announced that the First Sergeant Course is not a recognized 
element of the NCO Professional Development Training System. Because of 
the impact of these two far-reaching policy changes, no grandfathering 
is allowed for Active Army or RC soldiers concerning the wear of 
numerals on the NPDR. Only the numerals 2, 3, and 4 are authorized for 
wear on the ribbon.
    (2) Once a service member has been awarded the NPDR upon graduation 
from Primary Leadership Development Course (PLDC) or Primary Leadership 
Development Course-RC, subsequent appropriate numerals will be awarded 
to identify completion of higher level NCO Education System (NCOES) or 
RC NCOES courses.
    (3) Senior NCOs selected by the U.S. Army Sergeants Major Academy 
(USASMA) who complete equivalent resident courses conducted by the other 
Services will wear the NPDR with numeral 4.
    (4) Soldiers who have been authorized by their local commanders to 
attend local NCO courses or training conducted by the other Services and 
who qualify for or are awarded another Service's training ribbon will 
not wear the other Service's ribbons on the Army uniform.
    (5) Soldiers who have attended NCO development courses, other than 
Senior Level, conducted by another Service while in the Army will not be 
granted Army course equivalency recognition.
    (6) Soldiers must successfully complete one or more of the courses 
listed in paragraph (d) of this section which are further described in 
AR 351-1. Graduates of NCO Academy courses conducted prior to 1976 for 
the Active Army, and 1980 for Reserve Components, will be given credit 
for the Primary Level only.
    (7) Acceptable evidence of graduation is a diploma, certificate, or 
a letter signed by an appropriate service school official.
    (8) Effective March 30, 1989, a service member will be awarded the 
NPDR with the numeral which identifies the highest level of NCOES or RC-
NCOES successfully completed as follows--Bar Ribbon Device=Primary 
Level; 2=Basic Level; 3=Advanced Level; and 4=Senior Level.
    (d) Requirements. Effective August 1, 1981, all Active Army, Army 
National Guard and Army Reserve soldiers in an active status are 
eligible for this award for satisfactory completion of the respective 
NCOES or RC-NCOES courses as follows:
    (1) Primary level--Primary NCO Course, Combat Arms (PNCOC), Primary 
Leadership Course (PLC), Primary Technical Courses (Service School--
PTC), and Primary Leadership Development Course (PLDC) for award of the 
basic ribbon.
    (2) Basic level--Basic NCO Course, Combat Arms (BNCOC), Basic 
Technical Courses (Service School--BTC), and Basic NCO Course (CS/CSS-
BNCOC) for award of numeral 2.
    (3) Advanced level--Advanced NCO Courses (Service School--ANCOC) for 
award of numeral 3.
    (4) Senior level--U.S. Army Sergeants Major Academy (USASMA) for

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award of numeral 4. (See paragraph (c)(3) of this section).
    (e) Special instructions. Special instructions for ARNG and USAR are 
as follows:
    (1) Primary level--Primary NCO Course, Combat Arms-Reserve 
Components (PNCOC-RC), and effective October 1, 1985 Primary Leadership 
Development Course-Reserve Components (PLDC-RC).
    (2) Basic level--Basic NCO Course-Reserve Components (CS/CSS BNCOC-
RC) through September 30, 1985 (PNCOC-RC and BNCOC-RC combined for CA/
CS/CSS). Effective October 1, 1987 Basic NCO Course/Reserve Components 
(CA, CS, CSS) as developed and implemented.
    (f) Description. The ribbon is 1\3/8\ inches in width. It is 
composed of the following vertical stripes: \3/16\ inch Green 67129, \1/
8\ inch Yellow 67108, \3/16\ inch Green, \1/16\ inch Yellow; \1/4\ inch 
Flag Blue 67124, \1/16\ inch Yellow, \3/16\ inch Green, \1/8\ inch 
Yellow, and \3/16\ inch Green.



Sec. 578.43  Armed Forces Reserve Medal.

    (a) Criteria. The Armed Forces Reserve Medal (AFRM) was established 
by Executive Order 10163, as announced in DA Bulletin 15, 1950, and was 
amended by Executive Order 10439, announced in DA Bulletin 3, 1953 and 
Executive Order 13013, dated August 6, 1996.
    (b) The reverse side of this medal is struck in two designs for 
award to personnel whose Reserve Component service has been primarily in 
the organized Reserve or primarily in the National Guard. The first 
design portrays the Minute Man from the Organized Reserve Crest; the 
other design portrays the National Guard insignia.
    (c) The AFRM is awarded for honorable and satisfactory service as a 
member or former member of one or more of the Reserve Components of the 
Armed Forces of the United States, including the Coast Guard Reserve and 
the Marine Corps Reserve, for a period of 10 years under the following 
conditions:
    (1) Such years of service must have been performed within a period 
of 12 consecutive years.
    (2) Each year of active or inactive status honorable service prior 
to July 1, 1949 in any Reserve Component listed in AR 135-180, will be 
credited toward award. For service performed on or after July 1, 1949, a 
member must accumulate, during each anniversary year, a minimum of 50 
retirement points as prescribed in AR 135-180.
    (3) Service in a regular component of the Armed Forces, including 
the Coast Guard, is excluded except that service in a Reserve Component 
which is concurrent in whole or in part with service in a regular 
component will be included. (Example: regular component enlisted soldier 
with a Reserve commission.)
    (4) Any period during which Reserve service is interrupted by one or 
more of the following will be excluded in computing, but will not be 
considered as a break in the period of 12 years:
    (i) Service in a regular component of the Armed Forces.
    (ii) During tenure of office by a State official chosen by the 
voters of the entire State, territory, or possession.
    (iii) During tenure of office of member of the legislative body of 
the United States or of any State, territory, or possession.
    (iv) While service as judge of a court of record of the United 
States, or of any State, territory, possession, or the District of 
Columbia.
    (5) Members called to active duty. On or after August 1, 1990, the 
member was called to active duty and served under 10 U.S.C. 12301(a), 
12302, 12304, 12406, or, in the case of the U.S. Coast Guard Reserve, 14 
U.S.C. 712. The member volunteered and served on active duty in support 
of specific U.S. military operations or contingencies designated by the 
Secretary of Defense, as defined in of 10 U.S.C. 101(A) (13). AGR 
members who receive orders changing their current duty status (legal 
authority under which they perform duty), their duty location, or 
assignment to support a contingency operation are eligible for the award 
of the ``M'' Device.
    (d) The Ten-year-device is authorized for wear on the AFRM to denote 
each succeeding 10-year period as follows:
    (1) A bronze hourglass shall be awarded upon completion of the first 
10-year period award.
    (2) A silver hourglass shall be awarded upon completion of the 
second 10-year period award.

[[Page 411]]

    (3) A gold hourglass shall be awarded upon completion of the third 
10-year period award.
    (4) A gold hourglass, followed by a bronze hourglass shall be 
awarded upon completion of the fourth 10-year period award.
    (e) ``M'' Device. The ``M'' Device is authorized for wear on the 
AFRM by members of the Reserve Components who are called or who 
volunteer and serve or active duty in support of specific U.S. military 
operations or contingencies designed by the Secretary of Defense, as 
defined in of 10 U.S.C. 101(A)(13).
    (1) When a member qualifies for the ``M'' Device, the Bronze ``M'' 
shall be awarded, positioned on the ribbon and medal, and a number shall 
be included on the ribbon and medal. No more than one AFRM may be 
awarded to any one person. Multiple periods of service during one 
designated contingency (under provisions of Sec. 578.41(c)) shall count 
as one ``M'' Device award.
    (2) If no ``M'' Device is authorized, the appropriate hourglass 
shall be positioned in the center of the ribbon. If no hourglass is 
authorized, the ``M'' Device shall be positioned in the center of the 
ribbon, followed by Arabic numerals indicating the number of times the 
device has been awarded, starting with the second award, no number is 
worn for the first award.
    (3) If both the hourglass and the ``M'' Device are awarded, the 
hourglass shall be positioned in first position on the ribbon (at the 
wearer's right), the ``M'' Device in the middle position, and the number 
of times the ``M'' Device has been awarded in the remaining position (at 
the wearer's left).
    (f) Description. The medal is Bronze, 1\1/4\ inches in diameter, 
with a flaming torch in front of a crossed powder horn and a bugle 
within a circle composed of thirteen stars and thirteen rays. On the 
reverse is a different design for each of the reserve components. The 
reverse of all medals have the inscription ``ARMED FORCES RESERVE'' 
around the rim. Organized Reserve: On a wreath, the Lexington Minuteman 
statue as it stands on the Common in Lexington, Massachusetts encircled 
by thirteen stars. National Guard: The National Guard insignia (two 
crossed fasces superimposed on an eagle displayed with wings reversed). 
Air Force Reserve: The crest from the Air Forces seal (on a wreath, an 
eagle displayed in front of a cloud form). Naval Reserve: The center 
device of the Department of the Navy seal (an eagle displayed on an 
anchor in front of a ship in full sail). Marine Corps Reserve: The 
Marine Corps insignia (eagle perched on a globe superimposed on an 
anchor). Coast Guard Reserve: The central design of the Coast Guard seal 
(crossed anchors superimposed by a shield within an annulet).
    (1) The devices are Bronze hourglass to indicate 10 years service; 
silver hourglass to indicate 20 years service; gold hourglass to 
indicate 30 years service; letter ``M'' to indicate mobilization in 
support of U.S. Military operations or contingencies designated by the 
Secretary of Defense; and a numeral to indicate number of times 
mobilized.
    (2) The ribbon is 1\3/8\ inches wide and consists of the following 
stripes: \1/16\ inch Bluebird 67117; \1/32\ inch Chamois 67142; \1/16\ 
inch Bluebird; \1/32\ inch Chamois; \1/16\ inch Bluebird; \3/8\ inch 
Chamois; center \1/8\ inch Bluebird; \3/8\ inch Chamois; \1/16\ inch 
Bluebird; \1/32\ inch Chamois; \1/16\ inch Bluebird; \1/32\ inch 
Chamois; and \1/16\ inch Bluebird.



Sec. 578.44  Korean Service Medal.

    (a) Criteria. The Korean Service Medal (KSM) was established by 
Executive Order 10179, dated November 8, 1950. It is awarded for service 
between June 27, 1950 and July 27, 1954, under any of the following 
conditions:
    (1) Within the territorial limits of Korea or in waters immediately 
adjacent thereto.
    (2) With a unit under the operational control of the Commander in 
Chief, Far East, other than one within the territorial limits of Korea, 
which has been designated by the Commander in Chief, Far East, as having 
directly supported the military efforts in Korea.
    (3) Was furnished an individual certificate by the Commander in 
Chief, Far East, testifying to material contribution made in direct 
support of the military efforts in Korea.

[[Page 412]]

    (b) The service prescribed must have been performed under any of the 
following conditions:
    (1) On permanent assignment.
    (2) On temporary duty for 30 consecutive days or 60 nonconsecutive 
days.
    (3) In active combat against the enemy under conditions other than 
those prescribed in paragraphs (a)(1) and (2) of this section, provided 
a combat decoration has been awarded or an individual certificate has 
been furnished by the commander of an independent force or of a 
division, ship, or air group, or comparable or higher unit, testifying 
to such combat credit.
    (c) One bronze service star is authorized for each campaign under 
the following conditions:
    (1) Assigned or attached to and present for duty with a unit during 
the period in which it participated in combat.
    (2) Under orders in the combat zone and in addition meets any of the 
following requirements:
    (i) Awarded a combat decoration.
    (ii) Furnished a certificate by a commanding general of a corps, 
higher unit, or independent force that he actually participated in 
combat.
    (iii) Served at a normal post of duty (as contrasted to occupying 
the status of an inspector, observer, or visitor).
    (iv) Aboard a vessel other than in a passenger status and furnished 
a certificate by the home port commander of the vessel that he served in 
the combat zone.
    (3) Was an evader or escapee in the combat zone or recovered from a 
prisoner-of-war status in the combat zone during the time limitations of 
the campaign. Prisoners of war will not be accorded credit for the time 
spent in confinement or while otherwise in restraint under enemy 
control. (Sec. 578.61 Appurtenances to military decorations)
    (d) The arrowhead device is authorized for wear on the KSM to denote 
participation in a combat parachute jump, helicopter assault landing, 
combat glider landing, or amphibious assault landing, while assigned or 
attached as a member of an organized force carrying out an assigned 
tactical mission. Additional information on the arrowhead device is in 
Sec. 578.61.
    (e) Description. The medal is Bronze, 1\1/4\ inches in diameter, a 
Korean gateway, encircled by the inscription ``KOREAN SERVICE''. On the 
reverse is the Korean symbol taken from the center of the Korean 
National flag with the inscription ``UNITED STATES OF AMERICA'' and a 
spray of oak and laurel encircling the design. The ribbon is 1\3/8\ 
inches wide and consisting of the following stripes: \1/32\ inch White 
67101; \19/32\ inch Bluebird 67117; center \1/8\ inch White; \19/32\ 
inch Bluebird; and \1/32\ inch White.



Sec. 578.45  Medal of Humane Action.

    (a) Criteria. The Medal of Humane Action was established by the act 
of Congress July 20, 1949 (63 Stat. 477). It is awarded to members of 
the Armed Forces of the United States and to other persons when 
recommended for meritorious participation, for service while 
participating in the Berlin airlift or in direct support thereof.
    (b) Service must have been for at least 120 days during the period 
June 26, 1948 and September 30, 1949, inclusive, with the following 
prescribed boundaries of area of Berlin airlift operations:
    (1) Northern boundary. 54th parallel north latitude;
    (2) Eastern boundary. 14th meridian east longitude;
    (3) Southern boundary. 48th parallel north latitude;
    (4) Western boundary. 5th meridian west longitude.
    (c) Posthumous award may be made to any person who lost his life 
while, or as a direct result of, participating in the Berlin airlift, 
without regard to the length of such service, if otherwise eligible.
    (d) See DA Pamphlet 672-1 for the list of Army units entitled to the 
Berlin Airlift Device.
    (e) Description. The medal is Bronze and is 1\1/4\ inches in 
diameter. The miniature medal is \5/8\ inch in diameter. On the obverse, 
in the center, a C-54 airplane (as viewed from above) within a wreath of 
wheat connected at the bottom by a coat of arms. On the reverse, an 
eagle, shield and arrows from the seal of the DOD, beneath the words 
``FOR HUMANE ACTION'' and above

[[Page 413]]

the inscription in four lines, ``TO SUPPLY NECESSITIES OF LIFE TO THE 
PEOPLE OF BERLIN GERMANY''. The ribbon to the Medal for Humane Action is 
1\3/8\ inches in width and consists of the following stripes: \9/32\ 
inch black; \1/16\ inch white; \9/32\ inch teal blue; \3/64\ inch white; 
\1/32\ inch scarlet; \3/64\ inch white; \9/32\ inch teal blue; \1/16\ 
inch white; and \9/32\ inch black.



Sec. 578.46  Army of Occupation Medal.

    (a) Criteria. The Army of Occupation Medal (AOM) was established by 
War Department General Orders (WDGO) 32, 1946. It is awarded for service 
for 30 consecutive days at a normal post of duty (as contrasted to 
inspector, visitor, courier, escort, passenger, temporary duty, or 
detached service) while assigned to any of the following:
    (1) Army of Occupation of Germany (exclusive of Berlin) between May 
9, 1945 and May 5, 1955. (Service between May 9 and November 8, 1945 
will be counted only if the European-African-Middle Eastern Campaign 
Medal was awarded for service before May 9, 1945.)
    (2) Service for the prescribed period with a unit which has been 
designated in DA general orders as having met the requirement for the 
Berlin airlift device.
    (3) Service for which the individual was awarded the Berlin airlift 
device in orders issued by appropriate field authority.
    (4) Army of Occupation of Austria between May 9, 1945 and July 27, 
1955. (Service between May 9 and November 8, 1945 will be counted only 
if the European-African-Middle Eastern Campaign Medal was awarded for 
service before May 9, 1945.)
    (5) Army of Occupation of Berlin between May 9, 1945 and October 2, 
1990. (Service between May 9 and November 8, 1945 will be counted only 
if the European-African-Middle Eastern Campaign Medal was awarded for 
service before May 9, 1945.)
    (6) Army of Occupation of Italy between May 9, 1945 and September 
15, 1947 in the compartment of Venezia Giulia E. Zara or Province of 
Udine, or with a unit in Italy as designated in DAGO 4, 1947. (Service 
between May 9 and November 8, 1945 will be counted only if the European-
African-Middle Eastern Campaign Medal was awarded for service before May 
9, 1945.)
    (7) Army of Occupation of Japan between September 3, 1945 and April 
27, 1952 in the four main islands of Hokkaido, Honshu, Shikoku, and 
Kyushu, the surrounding smaller islands of the Japanese homeland, the 
Ryukyu Islands, and the Bonin-Volcano Islands. (Service between 
September 3, 1945 and March 2, 1946 will be counted only if the Asiatic-
Pacific Campaign Medal was awarded for service before September 3, 1945. 
In addition, service which meets the requirements for the KSM as 
prescribed in Sec. 578.44 will not be counted in determining 
eligibility for this medal.)
    (8) Army of Occupation of Korea between September 3, 1945 and June 
29, 1949, inclusive. (Service between September 3, 1945 and March 2, 
1946 will be counted only if the Asiatic-Pacific Campaign Medal was 
awarded for service before September 3, 1945.)
    (b) Clasps and the Berlin airlift device are authorized for wear on 
the Army of Occupation Medal. They are as follows:
    (1) Army of Occupation Medal Clasp. Soldiers who served in the 
European Theater during the occupation of Europe will wear the clasp 
inscribed ``Germany.'' Soldiers who served in the Far East Theater 
during the occupation of the Far East will wear the Clasp inscribed 
``Japan.'' Clasps bearing other inscriptions are not authorized. (The 
Army of Occupation Medal Clasp is described in Sec. 578.61).
    (2) Berlin Airlift Device. This device is awarded for service of 92 
consecutive days with a unit credited with participation in the Berlin 
airlift, or by competent field authority on an individual basis. 
Qualifying service must have been entirely within the period from June 
26, 1948 to September 30, 1949, inclusive. Orders announcing award of 
the Berlin Airlift device will specifically award the Army of Occupation 
Medal to persons not otherwise eligible therefor.
    (c) Description. The medal is Bronze, 1\1/4\ inches in width. On the 
obverse, the Remagen Bridge abutments below the words ``ARMY OF 
OCCUPATION''. On the reverse, Fujiyama with a low hanging cloud over two 
Japanese junks

[[Page 414]]

above a wave scroll and the date ``1945''. A Bronze clasp \1/8\ inch 
wide and 1\1/2\ inches in length with the word ``GERMANY'' or ``JAPAN'' 
is worn on the suspension ribbon to indicate service in Europe or the 
Far East. NAVY: On the obverse is Neptune mounted on a composite 
creature of a charging horse and a sea serpent with a trident grasped in 
right hand above wave scrolls. Around the bottom of the medal are the 
words ``OCCUPATION SERVICE''. The reverse is the same as the China 
Service Medal and is an eagle perched on the shank of a horizontal 
anchor with a branch of laurel entwined around the anchor. On the left 
is the word ``FOR'' and to the right is the word ``SERVICE'' and around 
the top is the inscription ``UNITED STATES NAVY''. MARINE CORPS: The 
medal for the Marine Corps is the same as the Navy, except the 
inscription around the top of the reverse is ``UNITED STATES MARINE 
CORPS''. The ribbon is the same for both medals and is 1\3/8\ inches 
wide and consists of the following stripes: \3/16\ inch White 67101; \1/
2\ inch Black 67138; \1/2\ inch Scarlet 67111; and \3/16\ inch White.



Sec. 578.47  World War II Victory Medal.

    (a) Criteria. The World War II Victory Medal was established by the 
act of Congress July 6, 1945 (59 Stat. 461). It is awarded for service 
between December 7, 1941 and December 31, 1946, both dates inclusive.
    (b) Description. The medal is Bronze, 1\3/8\ inches in width. On the 
obverse is a figure of Liberation standing full length with head turned 
to dexter looking to the dawn of a new day, right foot resting on a war 
god's helmet with the hilt of a broken sword in the right hand and the 
broken blade in the left hand, the inscription ``WORLD WAR II'' placed 
immediately below the center. On the reverse are the inscriptions 
``FREEDOM FROM FEAR AND WANT'' and ``FREEDOM OF SPEECH AND RELIGION'' 
separated by a palm branch, all within a circle composed of the words 
``UNITED STATES OF AMERICA 1941-1945''. The ribbon is 1\3/8\ inches wide 
and consists of the following stripes: \3/8\ inch double rainbow in 
juxtaposition (blues, greens, yellows, reds (center), yellows, greens, 
and blues); \1/32\ inch White 67101; center \9/16\ inch Old Glory Red 
67156; \1/32\ inch White; and \3/8\ inch double rainbow in 
juxtaposition. The rainbow on each side of the ribbon is a miniature of 
the pattern used in the WWI Victory Medal.



Sec. 578.48  European-African-Middle Eastern Campaign Medal.

    (a) Criteria. The European-African-Middle Eastern Campaign Medal was 
established by Executive Order 9265, announced in WD Bulletin 56, 1942, 
as amended by Executive Order 9706, March 15, 1947. It is awarded for 
service within the European-African-Middle Eastern Theater between 
December 7, 1941 and November 8, 1945 under any of the conditions as 
prescribed in Sec. 578.49 (Asiatic-Pacific Campaign Medal).
    (b) The boundaries of European-African-Middle Eastern Theater are as 
follows:
    (1) Eastern boundary. The eastern boundary is coincident with the 
western boundary of the Asiatic-Pacific Theater (Sec. 578.49).
    (2) Western boundary. The western boundary is coincident with the 
eastern boundary of the American Theater (Sec. 578.50 American Campaign 
Medal).
    (c) One bronze service star is authorized for each campaign under 
the following conditions:
    (1) Assigned or attached to, and present for duty with, a unit 
during the period in which it participated in combat.
    (2) Under orders in the combat zone and in addition meets any of the 
following requirements:
    (i) Awarded a combat decoration.
    (ii) Furnished a certificate by a commanding general of a corps or 
higher unit or independent force that he actually participated in 
combat.
    (iii) Served at a normal post of duty (as contrasted to occupying 
the status of an inspector, observer, or visitor).
    (iv) Aboard a vessel other than in a passenger status and furnished 
a certificate by the home port commander of the vessel that he served in 
the combat zone.
    (3) Was an evadee or escapee in the combat zone or recovered from a 
prisoner-of-war status in the combat zone

[[Page 415]]

during the time limitations of the campaign. Prisoners of war will not 
be accorded credit for the time spent in confinement or while otherwise 
in restraint under enemy control.
    (d) The arrowhead is authorized for wear on this medal to denote 
participation in a combat parachute jump, helicopter assault landing, 
combat glider landing, or amphibious assault landing, while assigned or 
attached as a member of an organized force carrying out an assigned 
tactical mission. (The arrowhead is described in Sec. 578.61)
    (e) Description. The Bronze medal is 1\1/4\ inches in width. On the 
obverse is a LST landing craft and troops landing under fire with an 
airplane in the background below the words ``EUROPEAN AFRICAN MIDDLE 
EASTERN CAMPAIGN''. On the reverse, an American bald eagle close between 
the dates ``1941-1945'' and the words ``UNITED STATES OF AMERICA''. The 
ribbon is 1\3/8\ inches wide and consists of the following stripes: \3/
16\ inch Brown 67136; \1/16\ inch Irish Green 67189; \1/16\ inch White 
67101; \1/16\ inch Scarlet 67111; \1/4\ inch Irish Green; center \1/8\ 
inch triparted Old Glory Blue 67178, White and Scarlet; \1/4\ inch Irish 
Green; \1/16\ inch White; \1/16\ inch Black 67138; \1/16\ inch White; 
and \3/16\ inch Brown.



Sec. 578.49  Asiatic-Pacific Campaign Medal.

    (a) Criteria. The Asiatic-Pacific Campaign Medal was established by 
Executive Order 9265 (WD Bulletin 56, November 6, 1942), as amended by 
Executive Order 9706, March 15, 1947. It is awarded for service with the 
Asiatic-Pacific Theater between December 7, 1941 and March 2, 1946 under 
any of the following conditions:
    (1) On permanent assignment in the Asiatic-Pacific Theater.
    (2) In a passenger status or on temporary duty for 30 consecutive 
days or 60 nonconsecutive days.
    (3) In active combat against the enemy and was awarded a combat 
decoration or furnished a certificate by the commanding general of a 
corps or higher unit or independent force showing that he actually 
participated in combat.
    (b) Boundaries of Asiatic-Pacific Theater--(1) Eastern boundary. 
Coincident with the western boundary of the American Theater (Sec. 
578.50 American Campaign Medal).
    (2) Western boundary. From the North Pole south along the 60th 
meridian east longitude to its intersection with the east boundary of 
Iran, thence south along the Iran boundary to the Gulf of Oman and the 
intersection of the 60th meridian east longitude, thence south along the 
60th meridian east longitude to the South Pole.
    (c) One bronze service star is authorized for each campaign under 
the conditions outlined in Sec. 578.48 European-African-Middle Eastern 
Campaign Medal. (Service stars are described in Sec. 578.61).
    (d) The arrowhead is authorized for wear on this medal to denote 
participation in a combat parachute jump, helicopter assault landing, 
combat glider landing, or amphibious assault landing, while assigned or 
attached as a member of an organized force carrying out an assigned 
tactical mission. (The arrowhead is described in Sec. 578.61).
    (e) Description. The Bronze medal is 1\1/4\ inches in width. On the 
obverse is a tropical landing scene with a battleship, aircraft carrier, 
submarine and an aircraft in the background with landing troops and palm 
trees in the foreground with the words ``ASIATIC PACIFIC CAMPAIGN'' 
above the scene. On the reverse, an American bald eagle close between 
the dates ``1941-1945'' and the words ``UNITED STATES OF AMERICA''. The 
ribbon is 1\3/8\ inches wide and consists of the following stripes: \3/
16\ inch Yellow 67108; \1/16\ inch White 67101; \1/16\ inch Scarlet 
67111; \1/16\ inch White; \1/4\ inch Yellow; center \1/8\ triparted Old 
Glory Blue 67178, White and Scarlet; \1/4\ inch Yellow; \1/16\ inch 
White; \1/16\ inch Scarlet; \1/16\ inch White; and \3/16\ inch Yellow.



Sec. 578.50  American Campaign Medal.

    (a) Criteria. The American Campaign Medal was established by 
Executive Order 9265 (WD Bulletin 56, 1942), as amended by Executive 
Order 9706, March 15, 1947. It is awarded for service within the 
American Theater between December 7, 1941 and March 2, 1946 under any of 
the following conditions:
    (1) On permanent assignment outside the continental limits of the 
United States.

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    (2) Permanently assigned as a member of a crew of a vessel sailing 
ocean waters for a period of 30 consecutive days or 60 nonconsecutive 
days.
    (3) Outside the continental limits of the United States in a 
passenger status or on temporary duty for 30 consecutive days or 60 
nonconsecutive days.
    (4) In active combat against the enemy and was awarded a combat 
decoration or furnished a certificate by the commanding general of a 
corps, higher unit, or independent force that the soldier actually 
participated in combat.
    (5) Within the continental limits of the United States for an 
aggregate period of 1 year.
    (b) The boundaries of American Theater are as follows:
    (1) Eastern boundary. The eastern boundary is located from the North 
Pole, south along the 75th meridian west longitude to the 77th parallel 
north latitude, thence southeast through Davis Strait to the 
intersection of the 40th parallel north latitude and the 35th meridian 
west longitude, thence south along the meridian to the 10th parallel 
north latitude, thence southeast to the intersection of the Equator and 
the 20th meridian west longitude, thence south along the 20th meridian 
west longitude to the South Pole.
    (2) Western boundary. The western boundary is located from the North 
Pole, south along the 141st meridian west longitude to the east boundary 
of Alaska, thence south and southeast along the Alaska boundary to the 
Pacific Ocean, thence south along the 130th meridian to its intersection 
with the 30th parallel north latitude, thence southeast to the 
intersection of the Equator and the 100th meridian west longitude, 
thence south to the South Pole.
    (c) One bronze service star is authorized for wear on the American 
Campaign Medal to denote participation in the antisubmarine campaign. 
The individual must have been assigned or attached to, and present for 
duty with, a unit credited with the campaign. Information on the 
antisubmarine campaign.
    (d) Description. The Bronze medal is 1\1/4\ inches in width. On the 
obverse is a Navy cruiser under full steam with a B-24 airplane flying 
overhead with a sinking enemy submarine in the foreground on three wave 
symbols, in the background a few buildings representing the arsenal of 
democracy, above the scene the words ``AMERICAN CAMPAIGN''. On the 
reverse an American bald eagle close between the dates ``1941-1945'' and 
the words ``UNITED STATES OF AMERICA''. The ribbon is 1\3/8\ inches wide 
and consists of the following stripes: \3/16\ inch Oriental Blue 67172; 
\1/16\ inch White 67101; \1/16\ inch Black 67138; \1/16\ inch Scarlet 
67111; \1/16\ inch White; \3/16\ inch Oriental Blue; center \1/8\ 
triparted Old Glory Blue 67178, White and Scarlet; \3/16\ inch Oriental 
Blue; \1/16\ inch White; \1/16\ inch Scarlet; \1/16\ inch Black; \1/16\ 
inch White; and \3/16\ inch Oriental Blue.



Sec. 578.51  Women's Army Corps Service Medal.

    (a) Criteria. The Women's Army Corps Service Medal was established 
by Executive Order 9365, announced in WD Bulletin 17, 1943. It is 
awarded for service in both the Women's Army Auxiliary Corps between 
July 10, 1942 and August 31, 1943 and the Women's Army Corps between 
September 1, 1943 and September 2, 1945.
    (b) Description. A Bronze medal, 1\1/4\ inches in diameter, with the 
head of Pallas Athene in profile facing right, superimposed on a 
sheathed sword cross with oak leaves and a palm branch within a circle 
composed of the words ``WOMEN'S'' in the upper half, and in the lower 
half ``ARMY CORPS''. On the reverse, within an arrangement of 13 stars, 
is a scroll bearing the words ``FOR SERVICE IN THE WOMEN'S ARMY 
AUXILIARY CORPS'' in front of the letters ``U S'' in lower relief. At 
the top and perched on the scroll is an eagle with wings elevated and 
displayed and at the bottom, the date ``1942-1943''. The ribbon is 1\3/
8\ inches wide and consists of the following stripes: \1/8\ inch Old 
Gold 67105; 1\1/8\ inch Mosstone Green 67127; and \1/8\ inch Old Gold.



Sec. 578.52  American Defense Service Medal.

    (a) The American Defense Service Medal (ADSM) was established by 
Executive Order 8808, announced in WD

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Bulletin 17, 1941. It is awarded for service between September 8, 1939 
and December 7, 1941 under orders to active duty for a period of 12 
months or longer.
    (b) A clasp, with the inscription ``Foreign Service'', is worn on 
the ADSM to denote service outside the continental limits of the United 
States, including service in Alaska, as a member of a crew of a vessel 
sailing ocean waters, flights over ocean waters, or as an assigned 
member of a organization stationed outside the continental limits of the 
United States. Possession of a clasp is denoted by the wearing of a 
bronze service star on the service ribbon. (See Sec. 578.61 for 
descriptions of the clasp and service stars.)
    (c) Description. The Bronze medal is 1\1/4\ inches in width. On the 
obverse is a female Grecian figure symbolic of defense, holding in her 
sinister hand an ancient war shield in reverse and her dexter hand 
brandishing a sword above her head, and standing upon a conventionalized 
oak branch with four leaves. Around the top is the lettering ``AMERICAN 
DEFENSE''. On the reverse is the wording ``FOR SERVICE DURING THE 
LIMITED EMERGENCY PROCLAIMED BY THE PRESIDENT ON SEPTEMBER 8, 1939 OR 
DURING THE UNLIMITED EMERGENCY PROCLAIMED BY THE PRESIDENT ON MAY 27, 
1941'' above a seven-leafed spray of laurel. The foreign service clasp 
is a Bronze bar \1/8\ inch in width and 1\1/2\ inches in length with the 
words ``FOREIGN SERVICE'', with a star at each end of the inscription. 
The foreign service clasp is placed on the suspension ribbon of the 
medal. The ribbon is 1\3/8\ inches wide and consists of the following 
stripes: \3/16\ inch Golden Yellow 67104; \1/8\ inch triparted Old Glory 
Blue 67178; White 67101; and Scarlet 67111; center \3/4\ inch Golden 
Yellow; \1/8\ inch triparted Scarlet; White; and Old Glory Blue 67178; 
and \3/16\ inch Golden Yellow.



Sec. 578.53  Army of Occupation of Germany Medal.

    (a) Criteria. The Army of Occupation of Germany Medal was 
established by the act of November 21, 1941, (55 Stat. 781). It is 
awarded for service in Germany or Austria-Hungary between November 12, 
1918 and July 11, 1923.
    (b) Description. The medal is Bronze and 1\1/4\ inches in diameter. 
On the obverse is a profile of General John J. Pershing, encircled by 
four stars indicating his insignia of grade as Commanding General of the 
Field Forces. In the lower left is the inscription ``GENERAL JOHN J. 
PERSHING'' and on the right is a laurel wreath superimposed by a sword 
with the dates ``1918'' and ``1923'' enclosed by the wreath. The reverse 
shows the American eagle perched with outspread wings standing on the 
Castle Ehrenbreitstein, encircled by the words ``U.S. ARMY OF OCCUPATION 
OF GERMANY'' and three stars at the bottom of the medal. The ribbon is 
1\3/8\ inches in width consisting of the following stripes: \1/16\ inch 
Ultramarine Blue 67118; \1/16\ inch Scarlet 67111; \3/16\ inch White 
67101; \3/4\ inch Black 67138 (center); \3/16\ inch White; \1/16\ inch 
Scarlet; \1/16\ inch Ultramarine Blue.



Sec. 578.54  World War I Victory Medal.

    (a) The World War I Victory Medal was established by WDGO 48, 1919. 
The medal is awarded for service between April 6, 1917 and November 11, 
1918 or with either of the following expeditions:
    (1) American Expeditionary Forces in European Russia between 
November 12, 1918 and August 5, 1919.
    (2) American Expeditionary Forces Siberia between November 23, 1918 
and April 1, 1920.
    (b) Battle clasps, service clasps, and service stars are authorized 
appurtenances to be worn on the World War I Victory Medal. (See Sec. 
578.61 for specific details.)
    (c) Description. The medal is Bronze and 1\3/8\ inches in diameter. 
On the obverse is a winged Victory, standing full length and full face. 
On the reverse is the inscription ``THE GREAT WAR FOR CIVILIZATION'' and 
the United States shield with the letters ``U.S.'' surmounted by a 
fasces, and on either side the names of the allied and associated 
nations. The lapel button is a five-pointed star \5/8\-inch in diameter 
on a wreath with the letters ``U.S.'' in the center. The medal is 
suspended by a ring from a silk ribbon 1\3/8\ inches in width, 
representing two rainbows

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placed in juxtaposition and having the red in the middle.



Sec. 578.55  Service medals and ribbons no longer available for issue.

    The medals listed below are no longer issued by HQDA. They may be 
purchased if desired from civilian dealers in military insignia and some 
Army exchanges.
    (a) Civil War Campaign Medal. This medal was established by WDGO 12, 
1907. It is awarded for service between April 15, 1861 and April 9, 
1865, or in Texas between April 15, 1861 and August 20, 1866.
    (b) Indian Campaign Medal. This medal was established by WDGO 12, 
1907. It is awarded for service in a campaign against any tribes or in 
any areas listed below, during the indicated period.
    (c) Spanish Campaign Medal. This medal was established by WDGO 5, 
1905. It is awarded for service ashore in, or on the high seas en route 
to, any of the following countries:
    (1) Cuba between May 11 and July 17, 1898.
    (2) Puerto Rico between July 24 and August 13, 1898.
    (3) Philippine Islands between June 30 and August 16, 1898.
    (d) Spanish War Service Medal. This medal was established by the act 
of July 9, 1918 (40 Stat. 873). It is awarded for service between April 
20, 1898 and April 11, 1899, to persons not eligible for the Spanish 
Campaign Medal.
    (e) Army of Cuban Occupation Medal. This medal was established by 
WDGO 40, 1915. It is awarded for service in Cuba between July 18, 1898 
and May 20, 1902.
    (f) Army of Puerto Rican Occupation Medal. This medal was 
established by War Department Compilation of Orders, changes 15, 
February 4, 1919. It is awarded for service in Puerto Rico between 
August 14 and December 10, 1898.
    (g) Philippine Campaign Medal. This medal was established by WDGO 5, 
1905. It is awarded for service in the Philippine Islands under any of 
the following conditions:
    (1) Ashore between February 4, 1899 and July 4, 1902.
    (2) Ashore in the Department of Mindanao between February 4, 1899 
and December 31, 1904.
    (3) Against the Pulajanes on Leyte between July 20, 1906 and June 
30, 1907, or on Samar between August 2, 1904 and June 30, 1907.
    (4) With any of the following expeditions:
    (i) Against Pala on Jolo between April and May 1905.
    (ii) Against Datu Ali on Mindanao in October 1905.
    (iii) Against hostile Moros on Mount Bud-Dajo, Jolo, March 1906.
    (iv) Against hostile Moros on Mount Bagsac, Jolo, between January 
and July, 1913.
    (v) Against hostile Moros on Mindanao or Jolo between 1910 and 1913.
    (5) In any action against hostile natives in which U.S. troops were 
killed or wounded between February 4, 1899 and December 31, 1913.
    (h) Philippine Congressional Medal. This medal was established by 
the act of June 29, 1906 (34 Stat. 621). It is awarded for service 
meeting all the following conditions:
    (1) Under a call of the President entered the Army between April 21 
and October 26, 1898.
    (2) Served beyond the date on which entitled to discharge.
    (3) Ashore in the Philippine Islands between February 4, 1899 and 
July 4, 1902.
    (i) China Campaign Medal. This medal was established by WDGO 5, 
1905. It is awarded for service ashore in China with the Peking Relief 
Expedition between June 20, 1900 and May 27, 1901.
    (j) Army of Cuban Pacification Medal. This medal was established by 
WDGO 96, 1909. It is awarded for service in Cuba between October 6, 1906 
and April 1, 1909.
    (k) Mexican Service Medal. This medal was established by WDGO 155, 
1917. It is awarded for service in any of the following expeditions or 
engagements:
    (1) Vera Cruz Expedition in Mexico between April 24 and November 26, 
1914.
    (2) Punitive Expedition in Mexico between March 14, 1916 and 
February 7, 1917.
    (3) Buena Vista, Mexico, December 1, 1917.

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    (4) San Bernardino Canon, Mexico, December 26, 1917.
    (5) Le Grulla, Texas, January 8 and 9, 1918.
    (6) Pilares, Mexico, March 28, 1918.
    (7) Nogales, Arizona, November 1 to 5, 1915 or August 27, 1918.
    (8) El Paso, Texas, and Juarez, Mexico, June 15 and 16, 1919.
    (9) Any action against hostile Mexicans in which U.S. troops were 
killed or wounded between April 12, 1911 and February 7, 1917.
    (l) Mexican Border Service Medal. This medal was established by the 
act of July 9, 1918 (40 Stat. 873). It was awarded for service between 
May 9, 1916 and March 24, 1917, or with the Mexican Border Patrol 
between January 1, 1916 and April 6, 1917, to persons not eligible for 
the Mexican Service Medal.



Sec. 578.56  United States Unit Awards.

    (a) Intent. Awards are made to organizations when the heroism 
displayed or meritorious service performed is a result of group effort.
    (b) Announcement. All unit awards approved at HQDA will be announced 
in HQ, DAGO.
    (c) Presentation. Unit awards will be presented at an appropriate 
formal ceremony at the earliest practicable date after the award is 
announced. FM 22-5 prescribes the ceremony for presentation of unit 
awards at a formal review.



Sec. 578.57  Presidential Unit Citation.

    (a) Criteria. The Presidential Unit Citation (PUC) (re-designated 
from the Distinguished Unit Citation on November 3, 1966) is awarded to 
unit of the Armed Forces of the United States and cobelligerent nations 
for extraordinary heroism in action against an armed enemy occurring on 
or after December 7,1941. The unit must display such gallantry, 
determination, and esprit de corps in accomplishing its mission under 
extremely difficult and hazardous conditions as to set it apart from and 
above other units participating in the same campaign. The degree of 
heroism required is the same as that which would warrant award of a 
Distinguished Service Cross to an individual. Extended periods of combat 
duty or participation in a large number of operational missions, either 
ground or air is not sufficient. This award will normally be earned by 
units that have participated in single or successive actions covering 
relatively brief time spans. It is not reasonable to presume that entire 
units can sustain Distinguished Service Cross performance for extended 
periods except under the most unusual circumstances. Recommendations for 
units larger than brigade will not be submitted.
    (b) Awarding authorities. Approval authority for award of the PUC is 
the President of the United States who delegated authority to the 
Service Secretaries.
    (c) Award elements. The award elements for the PUC (Army) are as 
follows:
    (1) PUC Streamer (Army);
    (2) PUC Emblem (Army);
    (3) PUC Certificate and Citation;
    (4) DAGO.
    (d) Description. The PUC Emblem is 1 \7/16\ inches wide and \9/16\ 
inch in height. The emblem consists of a \1/16\ inch wide gold frame 
with laurel leaves, which encloses an ultramarine blue 67118 ribbon.



Sec. 578.58  Valorous Unit Award.

    (a) Criteria. The Valorous Unit Award (VUA) may be awarded to units 
of the Armed Forces of the United States for extraordinary heroism in 
action against an armed enemy of the United States while engaged in 
military operations involving conflict with an opposing foreign force or 
while serving with friendly foreign forces engaged in an armed conflict 
against an opposing armed force in which the United States is not a 
belligerent party for actions occurring on or after August 3, 1963.
    (b) Requirements. The VUA requires a lesser degree of gallantry, 
determination, and esprit de corps than that required for the 
Presidential Unit Citation. Nevertheless, the unit must have performed 
with marked distinction under difficult and hazardous conditions in 
accomplishing its mission so as to set it apart from and above other 
units participating in the same conflict. The degree of heroism required 
is the same as that which would warrant award of the Silver Star to an 
individual. Extended periods of combat

[[Page 420]]

duty or participation in a large number of operational missions, either 
ground or air is not sufficient.
    (c) Unit eligibility. This award will normally be earned by units 
that have participated in single or successive actions covering 
relatively brief time spans. It is not reasonable to presume that entire 
units can sustain Silver Star performance for extended periods except 
under the most unusual circumstances. Recommendations for units larger 
than brigade will not be submitted.
    (d) Awarding authorities. The Deputy Chief of Staff (DCS), G-1 is 
approval authority for the VUA. Recommendations for award of the VUA 
will be forwarded to Commander, USA HRC, ATTN: AHRC-PDO-PA, Alexandria, 
VA 22332-0471, for processing to the DCS, G-1 for final action.
    (e) Award elements. The award elements for the VUA are as follows:
    (1) VUA Streamer;
    (2) VUA Emblem;
    (3) VUA Certificate and Citation;
    (4) DAGO.
    (f) Description. The VUA emblem is 1\7/16\ inches wide and \9/16\ 
inch in height. The emblem consists of a \1/16\ inch wide gold frame 
with laurel leaves which encloses a ribbon of the pattern of the Silver 
Star Medal ribbon centered on a red ribbon. The stripe dimensions of the 
ribbon are: \3/8\ inch old glory red 67156; \1/16\ inch ultramarine blue 
67118; \1/164\ inch white 67101; \3/32\ inch ultramarine blue 67118; \3/
32\ inch white 67101; center \3/32\ inch old glory red 67156; \3/32\ 
inch white 67101; \3/32\ inch ultramarine blue 67118; \1/64\ inch white 
67101; \1/16\ inch ultramarine blue; and \3/8\ inch old glory red 67156. 
The streamers are the same pattern as the silver star medal ribbon.



Sec. 578.59  Meritorious Unit Commendation.

    (a) Criteria. (1) The Meritorious Unit Commendation (MUC) (Army) 
(previously called the Meritorious Service Unit Plaque) is awarded to 
units for exceptionally meritorious conduct in the performance of 
outstanding services for at least 6 continuous months during the period 
of military operations against an armed enemy occurring on or after 
January 1, 1944. Service in a combat zone is not required, but must be 
directly related to the combat effort. Units based in the continental 
United States are excluded from this award, as are other units outside 
the area of operation. The unit must display such outstanding devotion 
and superior performance of exceptionally difficult tasks as to set it 
apart and above other units with similar missions. The degree of 
achievement required is the same as that which would warrant award of 
the Legion of Merit to an individual. Recommendations for units larger 
than brigade will not be submitted. For services performed during World 
War II, awards will be made only to service units and only for services 
performed between January 1, 1944 and September 15, 1946.
    (2) Effective March 1, 1961, the MUC was authorized for units and/or 
detachments of the Armed Forces of the United States for exceptionally 
meritorious conduct in performance of outstanding services for at least 
6 continuous months in support of military operations. Service(s), as 
used in this paragraph, is interpreted to relate to combat service 
support type activities and not to the type of activities performed by 
senior headquarters, combat, or combat support units.
    (b) Awarding authorities. Approval authority for the MUC is the 
Deputy Chief of Staff (DCS), G-1. Recommendations for award of the MUC 
will be forwarded to Commander, USA HRC, ATTN: AHRC-PDO-PA, Alexandria, 
VA 22332-0471, for processing to the DCS, G-1 for final action.
    (c) Award elements. The award elements for the MUC are as follows:
    (1) MUC Streamer;
    (2) MUC Emblem;
    (3) MUC Certificate and Citation; and
    (4) DAGO.
    (d) Description. The MUC emblem is 1\7/16\ inches wide and \9/16\ 
inch in height. The emblem consists of a \1/16\ inch ide gold frame with 
laurel leaves which encloses a scarlet 67111 ribbon. The previously 
authorized emblem was a gold color embroidered laurel wreath, 1\5/8\ 
inches in diameter on a 2 inch square of olive drab cloth.



Sec. 578.60  Army Superior Unit Award.

    (a) Criteria. The Army Superior Unit Award (ASUA) was created in 
1985 to

[[Page 421]]

recognize outstanding meritorious performance of a unit during peacetime 
of a difficult and challenging mission under extraordinary 
circumstances. Circumstances may be deemed to be extraordinary when they 
do not represent the typical day-to-day circumstances under which the 
unit normally performs, or may reasonably be expected to perform, its 
peacetime mission. The following additional criteria also applies:
    (1) The unit must display such outstanding devotion and superior 
performance of exceptionally difficult tasks as to set the unit apart 
from and above other units with similar missions. For the purpose of 
this award, peacetime is defined as any period during which wartime or 
combat awards are not authorized in the geographical area in which the 
mission was executed. The ASUA may be awarded to units that distinguish 
themselves while conducting humanitarian missions for a minimum of 30 
days, however, the ASUA will not be awarded if the same act or period of 
service has already been recognized by another unit award.
    (2) The award applies to both TO&E units and TDA organizations of 
battalion size or equivalent. TDA organizations may be considered for 
this award, even if comprised mostly of civilians. As an exception to 
policy, organizations larger than battalion equivalent size may also be 
submitted, but the submitting headquarters must take care to highlight 
the logic associated with the request to justify an exception to policy.
    (b) Approval authority. The approval authority for the ASUA is the 
Deputy Chief of Staff (DCS), G-1. Recommendations for award of the ASUA 
will be forwarded to Commander, USA HRC, ATTN: AHRC-PDO-PA, Alexandria, 
VA 22332-0471, for processing to the DCS, G-1 for final action.
    (c) Award elements. The award elements for the ASUA are as follows: 
ASUA Streamer; ASUA Emblem; ASUA Certificate and Citation; DAGO; Army 
Superior Unit Award Lapel Pin. The lapel pin is authorized for issue and 
wear by Department of the Army civilians in the employ of the decorated 
unit. Those individuals employed with the unit during the cited period 
may wear the lapel pin permanently. Those currently employed with a 
decorated unit, but who were not employed during the cited period may 
wear the lapel pin on a temporary basis as long as they remain employed 
by the unit. The lapel pin is also authorized for optional purchase and 
wear on civilian clothing by qualified military personnel. Permanent and 
temporary wear is governed by the provisions of AR 670-1.
    (d) Description. The ASUA emblem is 1\7/16\ inches wide and \9/16\ 
inch in height. The emblem consists of a \1/16\ inch wide gold frame 
with laurel leaves which encloses a ribbon of the following pattern: 
\17/32\ inch scarlet 67111; \1/32\ inch yellow 67103; \1/4\ inch green 
67129; \1/32\ inch yellow 67103; and \17/32\ inch scarlet 67111. The 
streamers are the same pattern as the emblem ribbon.



Sec. 578.61  Appurtenances to military decorations.

    Appurtenances are devices affixed to service or suspension ribbons 
or worn instead of medals or ribbons. They are worn to denote additional 
awards, participation in a specific event, or other distinguished 
characteristics of the award. The following is a list of authorized 
appurtenances:
    (a) Oak Leaf Clusters. A bronze or silver twig of four oak leaves 
with three acorns on the stem, \13/32\-inch long for the suspension 
ribbon, and \5/16\-inch long for the service ribbon bar and the unit 
award emblem is issued to denote award of second and succeeding awards 
of decorations (other than the Air Medal), the Army Reserve Components 
Achievement Medal, and unit awards. A silver Oak Leaf Cluster is worn 
instead of five bronze Oak Leaf Clusters. If the number of authorized 
Oak Leaf Clusters exceeds four and will not fit on a single ribbon, a 
second ribbon is authorized for wear. When wearing the second ribbon, 
place it after the first ribbon; the second ribbon counts as one award. 
Wear no more than four Oak Leaf Clusters on each ribbon. If the receipt 
of future awards reduces the number of Oak Leaf Clusters sufficiently 
(that is, a silver oak leaf cluster for five awards), remove the second 
ribbon and place the appropriate number of devices on a single ribbon. 
Oak

[[Page 422]]

Leaf Clusters are not issued for the Legion of Merit awarded in degrees 
to foreign nationals. Five-sixteenths inch Oak Leaf Clusters joined 
together in series of 2, 3, and 4 clusters are authorized for optional 
purchase and wear on service ribbons, and unit award emblems.
    (b) Numerals. Arabic numerals \3/16\ inch in height are issued 
instead of a medal or ribbon for second and succeeding awards of the Air 
Medal, Multinational Force and Observers Medal, Overseas Service Ribbon 
and the Army Reserve Components Overseas Training Ribbon. The ribbon 
denotes the first award and numerals starting with the numeral 2 denote 
the number of additional awards. The numeral worn on the NCO 
Professional Development Ribbon will denote the highest completed level 
of NCO development. The numerals are to be centered on the suspension 
ribbon of the medal or the ribbon bar.
    (c) ``V'' device. The ``V'' (Valor) device is a bronze block letter, 
V, \1/4\-inch high with serifs at the top of the members. It is worn to 
denote participation in acts of heroism involving conflict with an armed 
enemy. It was originally worn only on the suspension and service ribbons 
of the Bronze Star Medal to denote an award made for heroism (valor). 
Effective February 29, 1964, the ``V'' device was also authorized for 
wear on the Air Medal and Army Commendation Medal for heroic acts or 
valorous deeds not warranting awards of the Distinguished Flying Cross 
or the Bronze Star Medal with ``V'' device. Effective June 25, 1963, the 
``V'' device was authorized additionally for wear on the Joint Service 
Commendation Medal when the award is for acts of valor (heroism) during 
participation in combat operations. In the case of multiple ``V'' 
devices for the same award, only one ``V'' device is worn on the service 
ribbons.
    (d) ``M'' device. The ``M'' (Mobilization) Device is a bronze 
letter, M, \1/4\-inch high with serifs at the bottom of the members. It 
is authorized for wear on the Armed Forces Reserve Medal by members of 
the Reserve Components who are called or who volunteer and serve on 
active duty in support of specific U.S. Military operations or 
contingencies designated by the Secretary of Defense, as defined in 10 
U.S.C. 101(a) (13). AGR members who receive orders changing their 
current duty status (legal authority under which they perform duty), 
their duty location, or assignment to support a contingency operation 
are also eligible for award of the ``M'' Device.
    (e) Clasps. They are authorized for wear on the Army Good Conduct 
Medal, World War I Victory Medal, American Defense Service Medal, Army 
of Occupation Medal, and Antarctica Service Medal. All clasps, except 
the Army Good Conduct Medal clasp, are worn only on the suspension 
ribbon of the medal. The clasps are described as follows:
    (1) The Army Good Conduct Medal clasp is a bar \1/8\-inch by 1\3/8\ 
inches, of bronze, silver or gold, with loops indicative of each period 
of service. Paragraph 4-9 describes the clasps authorized for second and 
subsequent awards of the Army Good Conduct Medal.
    (2) The World War I Victory Medal battle clasps is a bronze bar \1/
8\-inch by 1\1/2\ inches with the name of the campaign or the words 
``Defensive Sector,'' and with a star at each end of the inscription. 
The campaigns are as follows:
    (i) Cambrai;
    (ii) Somme, Defensive;
    (iii) Lys;
    (iv) Aisne;
    (v) Montdidier-Noyon;
    (vi) Champagne-Marne;
    (vii) Aisne-Marne;
    (viii) Somme, Offensive;
    (ix) Oise-Aisne;
    (x) Ypres-Lys;
    (xi) St. Mihiel;
    (xii) Meuse-Argonne;
    (xiii) Vittorio-Veneto;
    (xiv) Defensive Sector.
    (3) The World War I Victory Medal service clasp is a bronze bar \1/
8\-inch by 1\1/2\ inches with the name of the country which the service 
was performed inscribed thereon. The service clasps authorized are as 
follows:
    (i) England;
    (ii) France;
    (iii) Italy;
    (iv) Russia;
    (v) Siberia.

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    (4) The American Defense Service Medal clasp is a bronze bar \1/8\-
inch by 1\1/2\ inches with the words ``Foreign Service'' and with a star 
at each end of the inscription.
    (5) The Army of Occupation Medal clasp is a bronze bar \1/8\-inch by 
1\1/2\ inches with the word ``Germany'' or ``Japan'' inscribed thereon, 
to denote occupation duty rendered in Europe and/or the Far East.
    (6) The Antarctica Service Medal is a clasp bearing the words 
``Wintered Over'' for wear on the suspension ribbon of the medal awarded 
in bronze for the first winter, in gold for the second winter, and in 
silver for the third winter.
    (f) Service stars. Are worn on campaign and service ribbons to 
denote an additional award. The service star is a bronze or silver five-
pointed star \3/16\-inch in diameter. A silver star is worn instead of 
five bronze service stars. The bronze service star is also affixed to 
the parachutist badge to denote participation in a combat parachutist 
jump, retroactive to December 7, 1941. See Sec. 578.74 on Parachutist 
badges for criteria for award of the combat parachutist badge. See AR 
670-1 for proper wear of the service stars. Service stars are authorized 
for wear on the following campaign and service medals and or ribbons:
    (1) World War I Victory Medal;
    (2) American Defense Service Medal;
    (3) American Campaign Medal;
    (4) Asiatic-Pacific Campaign Medal;
    (5) European-African-Middle Eastern Campaign Medal;
    (6) Korean Service Medal;
    (7) Armed Forces Expeditionary Medal;
    (8) Vietnam Service Medal;
    (9) National Defense Service Medal;
    (10) Humanitarian Service Medal;
    (11) Prisoner of War Medal;
    (12) Southwest Asia Service Medal;
    (13) Military Outstanding Volunteer Service Medal.
    (g) Arrowhead. The arrowhead is a bronze replica of an Indian 
arrowhead \1/4\-inch high. It denotes participation in a combat 
parachute jump, helicopter assault landing, combat glider landing, or 
amphibious assault landing, while assigned or attached as a member of an 
organized force carrying out an assigned tactical mission. A soldier 
must actually exit the aircraft or watercraft, as appropriate, to 
receive assault credit. Individual assault credit is tied directly to 
the combat assault credit decision for the unit to which the soldier is 
attached or assigned at the time of the assault. Should a unit be denied 
assault credit, no assault credit will accrue to the individual soldiers 
of that unit. It is worn on the service and suspension ribbons of the 
Asiatic-Pacific Campaign, European-African-Middle Eastern Campaign, 
Korean Service Medal, Vietnam Service Medal, Armed Forces Expeditionary 
Medal, and Global War on Terrorism Expeditionary. Only one arrowhead 
will be worn on any ribbon.
    (h) Ten-Year Device. The Ten-year device is authorized for wear on 
the Armed Forces Reserve Medal to denote each succeeding 10-year period 
as follows:
    (1) A bronze hourglass shall be awarded upon completion of the first 
10-year period award.
    (2) A silver hourglass shall be awarded upon completion of the 
second 10-year period award.
    (3) A gold hourglass shall be awarded upon completion of the third 
10-year period award.
    (4) A gold hourglass, followed by a bronze hourglass shall be 
awarded upon completion of the fourth 10-year period award.
    (i) Berlin Airlift Device. A gold colored metal miniature of a C-54 
type aircraft of \3/8\-inch wingspan, other dimensions proportionate. It 
is worn on the service and suspension ribbons of the Army of Occupation 
Medal. (See Sec. 578.46 Army of Occupation Medal)
    (j) Army Astronaut Device. A gold colored device, \7/16\-inches in 
length, consisting of a star emitting three contrails encircled by an 
elliptical orbit. It is awarded by the Chief of Staff, Army, to 
personnel who complete a minimum of one operational mission in space (50 
miles above earth) and is affixed to the appropriate Army Aviator Badge, 
Flight Surgeon Badge, or Aviation Badge awarded to the astronaut. 
Individuals who have not been awarded one of the badges listed above

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but who meet the other astronaut criteria will be awarded the basic 
Aviation Badge with Army Astronaut Device.



Sec. 578.62  Service ribbons.

    A ribbon identical in color with the suspension ribbon of the 
service medal it represents, attached to a bar 1\3/8\ inches in width 
and \3/8\ inch in length, equipped with a suitable attaching device. A 
service ribbon is issued with each service medal.



Sec. 578.63  Lapel buttons.

    (a) Lapel buttons are miniature replicas of military decorations; 
service medals and ribbons; and identification badges. Lapel buttons are 
worn only on civilian clothing. The buttons will be worn on the left 
lapel of civilian clothing for male personnel and in a similar location 
for female personnel.
    (b) Lapel buttons for military decorations. Lapel buttons for 
military decorations are issued in the following two forms:
    (1) A rosette, \1/2\-inch in diameter, for the Medal of Honor.
    (2) A colored enamel replica (\1/8\-inch by \21/32\-inch) for the 
service ribbon for other decorations.
    (c) Lapel buttons for badges. The only badges that have an approved 
lapel button are certain identification badges as follows:
    (1) Presidential Service Badge;
    (2) Vice Presidential Service Badge;
    (3) Office of the Secretary of Defense Identification Badge;
    (4) Joint Chiefs of Staff Identification Badge; and
    (5) Army Staff Identification Badge.
    (d) World War I Victory Button. A five-pointed star \5/8\-inch in 
diameter on a wreath with the letters ``US'' in the center. For persons 
wounded in action, the lapel button is silver; for all others, the lapel 
button is bronze. Eligibility requirements are the same for the World 
War I Victory Medal.
    (e) Honorable Service Lapel Button (World War II Victory Medal). A 
button of gold-color metal consists of an eagle perched within a ring 
composed of a chief and 13 vertical stripes. The button is \7/16\-inch 
high and \5/8\-inch wide. Eligibility requirements are honorable Federal 
military service between September 8, 1939 and December 31, 1946.
    (f) Lapel button for service prior to September 8, 1939. (Not issued 
or sold by the Department of the Army.) A button \7/16\-inch high and 
\5/8\-inch wide, of gold-color metal consists of an eagle perched within 
a ring which displays seven white and six red vertical stripes and a 
blue chief bearing the words ``National Defense.'' It may be worn only 
by a person who served honorably before September 8, 1939 as an enlisted 
man, warrant officer, nurse, contract surgeon, veterinarian, or 
commissioned officer, in the Regular Army or a Citizen's Military 
Training Camp for 2 months, or in the National Guard, Enlisted Reserve 
Corps, or Senior ROTC for 1 year, or in junior ROTC for 2 years.
    (g) Army Lapel Button. The Army Lapel Button is a gratuitous issue 
item made up of a minute man in gold color on a red enamel disk 
surrounded by 16-pointed gold rays with an outside diameter of \9/16\-
inch. Eligibility requirements are as follows:
    (1) Soldiers transitioning with an honorable characterization of 
service (those being transferred to another component for completion of 
a military service obligation, and those receiving an Honorable 
Discharge Certificate).
    (2) Non-adverse separation provision.
    (3) Minimum 9 months continuous service--a break is 24 hours or 
more.
    (4) Active Federal service on or after April 1, 1984; or, service in 
a Ready Reserve unit organized to serve as a unit (National Guard unit 
or Army Reserve troop program unit) on or after July 1, 1986.
    (5) Retroactive issuance is not authorized.
    (6) No soldier separating from the Service is to be awarded more 
than one Army Lapel Button.
    (h) U.S. Army Retired Lapel Button. Retired Army personnel who are 
in possession of DD Form 2 (U.S. Uniformed Services Identification Card) 
(Retired)) are eligible to wear the Army Retired Lapel Button. 
Commanders will present the U.S. Army Retired Lapel Button to Army 
personnel at an appropriate ceremony before they retire.

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    (i) Active Reserve Lapel Button. The Active Reserve Lapel Button is 
authorized for active membership in the Ready Reserve of the Army. It is 
made up of a minute man in gold color on a bronze color base and is \11/
16\-inch in length. The button is an optional purchase item, not issued 
or sold by the Department of the Army. It is not worn on the uniform.
    (j) Lapel Button for Korean Augmentation to the U.S. Army (KATUSA). 
The KATUSA Lapel Button (KLB) was approved by the Secretary of the Army 
on March 22, 1988 as a gratuitous issue item. The KLB is a round disk 
with an outside diameter of \9/16\-inch that is comprised of a Korean 
Taeguk that consists of the characteristics from both the U.S. and 
Republic of Korea National Flags resting on a white background. The 
words ``Honorable Service * KATUSA'' are situated on the border of the 
outer edge of the KLB.
    (1) The following requirements must be met to be eligible for award 
of the KLB:
    (i) Individual must have been a Republic of Korea Army soldier who 
has been assigned as a KATUSA soldier to a U.S. Army unit or activity 
for a minimum of 9 months of continuous honorable active service on or 
after March 22, 1988.
    (ii) Must be separating from active duty with the Republic of Korea 
Army.
    (iii) Disqualifying characterization of service for the award of the 
KLB is identical with that used for the Army Lapel Button.
    (2) Issuance requirements are as follows:
    (i) The KLB will be awarded to all eligible KATUSA soldiers.
    (ii) The U.S. Army unit commander will coordinate with the 
appropriate Republic of Korea staff officer/NCO to obtain Republic of 
Korea Army concurrence prior to presentation of the KLB.
    (iii) Presentation will normally be made by the U.S. Army unit 
commander to which last assigned prior to separation from active service 
or by his designated U.S. Army commissioned officer representative 
during a troop formation or other appropriate ceremony.
    (3) Orders will not be published to confirm award of the KLB.
    (k) Gold Star Lapel Button. The Gold Star Lapel Button was 
established by Act of Congress (Pub. L. 80-306) August 1, 1947, codified 
at 10 U.S.C. 1126 in order to provide an appropriate identification for 
widows, widowers, parents, and next of kin of members of the Armed 
Forces of the United States who lost their lives during World War I, 
April 6, 1917 to March 3, 1921; World War II, September 8, 1939 to July 
25, 1947; any subsequent period of armed hostilities in which the United 
States was engaged before July 1, 1958 (United Nations action in Korea, 
June 27, 1950 to July 27, 1954); or who lost their lives after June 30, 
1958, while engaged in an action against an enemy of the United States; 
or while engaged in military operations involving conflict with an 
opposing foreign force; or while serving with friendly foreign forces 
engaged in an armed conflict in which the United States is not a 
belligerent party against an opposing Armed Force; or who lost or lose 
their lives after March 28, 1973, as a result of an international 
terrorist attack against the United States or a foreign nation friendly 
to the United States, recognized as such an attack by the Secretary of 
Defense; or while serving in a military operation while serving outside 
the United States (including the commonwealths, territories, and 
possessions of the United States) as part of a peacekeeping force.
    (1) The Gold Star Lapel Button consists of a gold star on a purple 
circular background, bordered in gold and surrounded by gold laurel 
leaves. On the reverse is the inscription ``United States of America, 
Act of Congress, August 1966'' with space for engraving the initials of 
the recipient. Gold Star Lapel Buttons inscribed August 1947 may be 
issued until present inventories are exhausted.
    (2) One Gold Star Lapel Button will be furnished without cost to the 
widow or widower, to each of the parents, each child, stepchild, child 
through adoption, brother, half brother, sister, and half sister of a 
member of the Armed Forces who lost his or her life while in the active 
military service during the periods indicated above. The term ``widow or 
widower'' includes those who have since remarried, and

[[Page 426]]

the term ``parents'' includes mother, father, stepmother, stepfather, 
mother through adoption, father through adoption, and foster parents who 
stood in loco parentis. Request for replacement of the Gold Star Lapel 
Button (lost, destroyed or unserviceable) will be submitted on DD Form 3 
(Application for Gold Star Lapel Button) to NPRC (see Sec. 578.16 
(a)(3)).
    (3) Each casualty area commander and major overseas commander will 
stock Gold Star Lapel Buttons and ensure that survivor assistance 
officers are provided them for issue to eligible next of kin. Normally, 
delivery should not be made prior to the first visit to the next of kin 
following interment.
    (l) Lapel Button for Next of Kin of Deceased Personnel. The Lapel 
Button, Next of Kin of Deceased Personnel is provided to widows(ers), 
parents, and primary next of kin of armed services members who lose 
their lives while serving on active duty or while assigned in an Army 
Reserve or Army National Guard unit in a drill status.
    (1) The button consists of a gold star within a circle 
(commemorating honorable service) surrounded by sprigs of oak (referring 
to the Army, Navy, Air Force, and Marine Corps).
    (2) One lapel button will be furnished without cost to the widow or 
widower, to each of the parents, each child, stepchild, child through 
adoption, brother, half brother, sister, and half sister of a member of 
the Armed Forces who lost his or her life while on active duty. The term 
widow or widower includes those who have since remarried, and the term 
parents includes mother, father, stepmother, stepfather, mother through 
adoption, father through adoption, and foster parents who stood in place 
of a parent.
    (3) Casualty area commands will stock the button and ensure that 
survivor assistance officers issue them to eligible next of kin.
    (4) The Lapel Button, Next of Kin of Deceased Personnel is 
authorized for issue retroactive to March 29, 1973. The next of kin of 
soldiers who died since that date may request issue of the button by 
writing to the NPRC (see Sec. 578.16(a)(3)). Furnish the name, grade, 
SSN, and date of death of the deceased soldier. The names and 
relationships of the next of kin must also be provided.
    (m) Army Superior Unit Award Lapel Pin. The Army Superior Unit Award 
Lapel Pin is authorized for issue and wear by DA civilians in the employ 
of a unit awarded the Army Superior Unit Award. The lapel pin is also 
authorized for optional purchase and wear on civilian clothing by 
qualified military personnel.



Sec. 578.64  Miniature decorations.

    (a) Decorations. Miniature replicas of all medals except the Medal 
of Honor and the Legion of Merit in the Degrees of Chief Commander and 
Commander are authorized for wear on certain uniforms instead of the 
issued medals. Miniatures of decorations are issued only to foreign 
nationals and with the award of the Distinguished Service Medal to U.S. 
personnel.
    (b) Miniature badges. Replicas of combat and special skill badges in 
miniature size are authorized for wear on certain uniforms instead of 
the full-size badges.



Sec. 578.65  Supply, service, and requisition of medals and badges.

    (a) Medals and appurtenances listed are issued by DA:
    (1) Decorations;
    (2) Service medals;
    (3) Service ribbons;
    (4) Palms;
    (5) Rosettes;
    (6) Clasps;
    (7) Arrowheads;
    (8) Service stars;
    (9) French Fourragere;
    (10) Netherlands Orange Lanyard;
    (11) Army Good Conduct Medals;
    (12) Oak Leaf Cluster;
    (13) Numerals;
    (14) Letter ``V'' devices;
    (15) Certificate for decorations;
    (16) Lapel buttons for decorations;
    (17) Miscellaneous lapel buttons listed in Lapel buttons for badges 
and Lapel buttons for service;
    (18) Ten-year devices;
    (19) Berlin Airlift devices;
    (20) Containers for decorations;
    (21) Miniature decorations to foreign military personnel;
    (22) Letter ``V'' Device;
    (23) Letter ``M'' Device;

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    (b) Badges and appurtenances listed below are issued by Department 
of the Army:
    (1) Combat and special skill badges;
    (2) Basic Marksmanship Designation Badges;
    (3) Distinguished marksmanship designation badges;
    (4) Excellence in competition badges;
    (5) Basic marksmanship qualification badges and bars;
    (6) Army Staff Identification Badge;
    (7) The Guard, Tomb of the Unknown Soldier Identification Badge (an 
item of organizational equipment);
    (8) Army ROTC Nurse Cadet Program Identification Badge;
    (9) Drill Sergeant Identification Badge;
    (10) U.S. Army Recruiter Identification Badge;
    (11) Career Counselor Badge;
    (12) Army National Guard Recruiting and Retention Identification 
Badge;
    (13) U.S. Army Reserve Recruiter Identification Badge.



Sec. 578.66  Original issue or replacement.

    (a) General. All U.S. Army medals are presented without cost to an 
awardee. Replacement of medals or service ribbons for individuals not on 
active duty may be made at cost price. Requests will be honored from the 
original recipient of the award, or if deceased, from his or her primary 
next of kin in the following order: surviving spouse, eldest surviving 
child, father or mother, eldest surviving brother or sister, or eldest 
surviving grandchild.
    (b) Issue or replacement of service medals and service ribbons 
antedating the World War I Victory Medal is no longer accomplished. 
These awards are not available from the supply system, but may be 
purchased from private dealers in military insignia.
    (c) No money should be mailed until instructions are received by 
NPRC. Requests for medals should be directed to the following addresses 
as shown below.
    (1)(i) Request for: Personnel in active Federal military service or 
in the Army National Guard or U.S. Army Reserve.
    (ii) Submit to: Unit Commander.
    (2)(i) Request for: Medals on behalf of individuals having no 
current U.S. Army status or deceased prior to October 1, 2002.
    (ii) Submit to: National Personnel Records Center, 9700 Page Avenue, 
St. Louis, MO 63132-5100.
    (3)(i) Request for: Medals for individuals who retired, were 
discharged or died (except general officers) after October 1, 2002.
    (ii) Submit to: Commander, U.S. Army Human Resources Command, ATTN: 
AHRC-CC-B, 1 Reserve Way, St. Louis, MO 63132-5200.
    (4)(i) Request for: Personnel receiving retired pay, except general 
officers.
    (ii) Submit to: National Personnel Records Center, 9700 Page Avenue, 
St. Louis, MO 63132-5100.
    (5)(i) Request for: Retired general officers.
    (ii) Submit to: Commander, USA HRC, ATTN: AHRC-PDO-PA, 200 Stovall 
Street, Alexandria, VA 22332-0471.
    (d) Issue of medals, other than Army. Medals and appurtenances 
awarded while in active Federal service in one of the other U.S. 
military Services will be issued on individual request to appropriate 
Service as shown below.
    (1)(i) Request for: Navy awards.
    (ii) Submit to: Office of the Chief of Naval Operations, Awards, 
Code: 09B33, 2000 Navy Pentagon, Washington, DC 20350-2000.
    (2)(i) Request for: Air Force awards.
    (ii) Submit to: Commander, U.S. Air Force Personnel Center/DPPPRA, 
550 C Street West, Suite 12, Randolph Air Force Base, TX 78150-6001.
    (3)(i) Request for: Marine Corps awards.
    (ii) Submit to: Commandant, U.S. Marine Corps, Manpower and Reserve 
Affairs, Code: MMMA, 3280 Russell Road, Quantico, VA 22134-5103.
    (4)(i) Request for: Coast Guard awards.
    (ii) Submit to: Commandant, United States Coast Guard, 2100 Second 
Street, SW., ATTN: G-PS-5/TP41, Washington, DC 20593-0001.



Sec. 578.67  Manufacture, sale, and illegal possession.

    Sections 507.1 to 507.8 of this chapter prescribe:
    (a) Restrictions on manufacture and sale of service medals and 
appurtenance by civilians.

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    (b) Penalties for illegal possession and wearing of service medals 
and appurtenances.



Sec. 578.68  Badges and tabs; general.

    (a) Purpose. The purpose of awarding badges is to provide for public 
recognition by tangible evidence of the attainment of a high degree of 
skill, proficiency, and excellence in tests and competition, as well as 
in the performance of duties. Awards of badges promote esprit de corps, 
and provide an incentive to greater effort, thus becoming instrumental 
in building and maintaining morale. Types of badges authorized to be 
awarded as hereinafter prescribed, are combat and special skill badges, 
marksmanship qualification badges, identification badges and tabs.
    (b) Recommendations and approval authority. (1) Recommendations for 
awards of badges will be submitted by memorandum or DA Form 4187 through 
command channels to the commander authorized to make the award.
    (2) Badges may be approved and awarded in the field only by the 
commanders authorized to award the respective badge.
    (3) Award of badges to Active Army personnel which cannot be 
resolved by local commanders will be forwarded through command channels 
to HQ, USA HRC, (see address Sec. 578.3(c)).
    (c) Posthumous awards. When an individual who has qualified for a 
badge dies before the award is made, the badge may be presented to the 
next of kin.
    (d) Retroactive awards. Retroactive awards of the Combat Infantryman 
Badge and the Combat Medical Badge may be made to fully qualified 
individuals. Such awards will not be made except where evidence of 
injustice is presented. Active duty soldiers will forward their 
applications through command channels to HQ, AHRC, (see address Sec. 
578.3(c)). Reserve Component soldiers should address their application 
to Commander, USA HRC-St. Louis, One Reserve Way, St. Louis, MO 63132-
5200. Retirees and veterans should address their application to the NPRC 
(see Sec. 578.16(a)(3) for address).
    (e) Announcement of awards. Permanent awards of badges, except basic 
marksmanship qualification badges, identification badges, and the 
Physical Fitness Badge, will be announced in Permanent Orders by 
commanders authorized to make the award or Permanent Orders of HQDA.
    (f) Presentation of awards. Whenever practical, badges will be 
presented to military personnel in a formal ceremony. Presentations 
should be made as promptly as practical following announcement of 
awards, and when possible, in the presence of the troops with whom the 
recipients were serving at the time of the qualification.
    (g) Supply of badges. (1) Badges listed below are issued by the DA.
    (i) Combat and special skill badges;
    (ii) Basic Marksmanship Designation Badges;
    (iii) Distinguished marksmanship designation badges;
    (iv) Excellence in competition badges;
    (v) Basic marksmanship qualification badges and bars;
    (vi) Army Staff Identification Badge;
    (vii) The Guard, Tomb of the Unknown Soldier Identification Badge 
(an item of organizational equipment);
    (viii) Army ROTC Nurse Cadet Program Identification Badge;
    (ix) Drill Sergeant Identification Badge;
    (x) U.S. Army Recruiter Identification Badge;
    (xi) Career Counselor Badge;
    (xii) Army National Guard Recruiting and Retention Identification 
Badge;
    (xiii) U.S. Army Reserve Recruiter Identification Badge.
    (2) Items not issued or sold by the DA:
    (i) Identification badges, except as provided in paragraph (g)(1) of 
this section;
    (ii) Lapel buttons for badges;
    (iii) Certificates for badges;
    (iv) Foreign badges;
    (v) Miniature Combat Infantryman, Expert Infantryman, Combat 
Medical, Expert Field Medical, and Aviation badges;
    (vi) Dress miniature badges. (Miniatures may be purchased from 
dealers in military insignia.)
    (h) Requisition. Combat and special skill badges, basic marksmanship 
qualification badges, and authorized bars,

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may be requisitioned by commanders through normal channels. Requisitions 
will contain a statement that issue is to be made to authorized 
personnel. Commanders authorized to make the award may requisition bulk 
delivery of badges to meet needs for 60 days. Care should be taken that 
excessive stocks are not requisitioned. Initial issue or replacement for 
a badge lost, destroyed, or rendered unfit for use without fault or 
neglect on the part of the person to whom it was awarded, will be made 
upon application, without charge to military personnel on active duty 
and at stock fund standard price to all others.
    (i) Character of service. A badge will not be awarded to any person 
who, subsequent to qualification therefore, has been dismissed, 
dishonorably discharged, or convicted of desertion by court-martial.
    (j) Special guidance. (1) Effective September 30, 1986, local 
established special skill badges are no longer authorized for wear. 
Authority for major commanders to approve local badges is rescinded.
    (2) The wear of badges issued by other Services is governed by AR 
670-1. Those cases that cannot be resolved should be forwarded to Office 
of the Deputy Chief of Staff, G-1, ATTN: DAPE-HR-S, 300 Army Pentagon, 
Washington, DC 20310-0300.
    (3) Authority must be obtained from HQ, USA HRC (AHRC-PDO-PA) before 
wearing on the Army uniform badges awarded by other U.S. Services and 
the Director of Civilian Marksmanship.
    (k) To whom awarded. (1) The Combat Infantryman Badge may be awarded 
only to members of the U.S. Army.
    (2) The Combat Medical Badge may be awarded only to members of the 
U.S. Army, Navy, or Air Force.
    (3) Awards of U.S. Army badges to foreign military personnel will be 
made only with the prior consent of his or her Government and upon 
completion of the full requirements established for each badge. Foreign 
military personnel may also qualify for Army badges while attending U.S. 
Army service schools or while participating in combined or joint 
operations.
    (4) All other special skill badges may be earned by U.S. military 
personnel who qualify while performing honorable active duty or Reserve 
service in an active status or while formally assigned or attached to 
the U.S. Army.
    (5) In certain cases, civilian personnel may be awarded special 
skill badges provided specific criteria are met. Requests or 
recommendations for award of special skill badges to civilians should be 
directed to designated approval authorities or Commander, USA HRC (see 
Sec. 578.3 (c) for address).
    (6) Table 9 below lists the U.S. Army combat and special skill 
badges authorized and who is authorized to be awarded each badge.

                                       Table 9.--U.S. Army Badges and Tabs
----------------------------------------------------------------------------------------------------------------
  Order of precedence may be awarded       Members of other      Department of the army      Foreign military
                 to:                           services                civilians                personnel
----------------------------------------------------------------------------------------------------------------
Combat Infantryman Badge.............  YES....................  NO.....................  YES
Combat Medical Badge.................  YES....................  NO.....................  NO
Combat Action Badge..................  YES....................  NO.....................  YES
Expert Infantryman Badge.............  NO.....................  NO.....................  NO
Expert Field Medical Badge...........  YES....................  YES....................  YES
Parachutist Badges...................  YES....................  YES....................  YES
Parachute Rigger Badge...............  YES....................  YES....................  YES
Military Free-Fall Parachutist Badge.  NO.....................  NO.....................  NO
Army Aviator Badge...................  YES....................  YES....................  YES
Astronaut Device.....................  YES....................  YES....................  YES
Flight Surgeon Badge.................  YES....................  YES....................  YES
Divers Badges........................  YES....................  YES....................  YES
Special Operations Diver Badge.......  YES....................  NO.....................  NO
Explosive Ordnance Disposal Badges...  YES....................  YES....................  YES
Pathfinder Badge.....................  YES....................  YES....................  YES
Air Assault Badge....................  YES....................  YES....................  YES
Aviation Badge.......................  YES....................  YES....................  YES
Driver & Mechanic Badge..............  YES....................  YES....................  YES
Ranger Tab...........................  YES....................  YES....................  YES

[[Page 430]]

 
Special Forces Tab...................  YES....................  YES....................  YES
Sapper Tab...........................  YES....................  YES....................  YES
----------------------------------------------------------------------------------------------------------------
Notes:
1. Badges authorized to foreign military personnel will be made only after obtaining prior consent from his or
  her Government and after completion of the full requirements established for each badge.
2. DA civilians must complete full requirements for the respective badge before it is awarded.



Sec. 578.69  Combat Infantryman Badge.

    (a) Specific eligibility requirements. There are basically three 
requirements for award of the Combat Infantryman Badge (CIB):
    (1) The Soldier must be an infantryman satisfactorily performing 
infantry duties.
    (2) Must be assigned to an infantry unit during such time as the 
unit is engaged in active ground combat.
    (3) Must actively participate in such ground combat. (Campaign or 
battle credit alone is not sufficient for award of the CIB.)
    (b) The specific eligibility criteria for the CIB requires that:
    (1) A Soldier must be an Army infantry or special forces officer 
(SSI 11 or 18) in the grade of colonel or below, or an Army enlisted 
Soldier or warrant officer with an infantry or Special Forces Military 
Occupational Specialties (MOS), who, subsequent to December 6, 1941, has 
satisfactorily performed duty while assigned or attached as a member of 
an infantry, ranger or special forces unit of brigade, regimental, or 
smaller size during any period such unit was engaged in active ground 
combat. Eligibility for Special Forces personnel in MOS 18B, 18E, 18F, 
and 18Z (less Special Forces medical sergeant) accrues from December 20, 
1989. Retroactive awards of the CIB to Special Forces personnel are not 
authorized prior to December 20, 1989.
    (2) A recipient must be personally present and under hostile fire 
while serving in an assigned infantry or Special Forces primary duty, in 
a unit actively engaged in ground combat with the enemy. The unit in 
question can be of any size smaller than brigade. For example, personnel 
possessing an infantry MOS in a rifle squad of a cavalry platoon in a 
cavalry troop would be eligible for award of the CIB. Battle or campaign 
participation credit alone is not sufficient; the unit must have been in 
active ground combat with the enemy during the period.
    (3) Personnel with other than an infantry or Special Forces MOS are 
not eligible, regardless of the circumstances. The infantry or Special 
Forces SSI or MOS does not necessarily have to be the Soldier's primary 
specialty, as long as the Soldier has been properly trained in infantry 
or Special Forces tactics, possesses the appropriate skill code, and is 
serving in that specialty when engaged in active ground combat as 
described above. Commanders are not authorized to make any exceptions to 
this policy.
    (4) Awards will not be made to general officers or to members of 
headquarters companies of units larger in size than brigade.
    (5) On or after September 18, 2001, the following rules apply:
    (i) A Soldier must be an Army infantry or special forces (SSI 11 or 
18) in the grade of colonel or below, or an Army enlisted Soldier or 
warrant officer with an infantry or special forces MOS, who has 
satisfactorily performed duty while assigned or attached as a member of 
an infantry, ranger or special forces unit of brigade, regimental, or 
smaller size during any period such unit was engaged in active ground 
combat, to close with and destroy the enemy with direct fire.
    (ii) A Soldier must be personally present and under fire while 
serving in an assigned infantry or Special Forces primary duty, in a 
unit engaged in active ground combat, to close with and destroy the 
enemy with direct fire.
    (iii) Soldiers possessing MOS of 18D (Special Forces Medical 
Sergeant) who satisfactorily perform special forces duties while 
assigned or attached to a

[[Page 431]]

special forces unit of brigade, regimental, or smaller size during any 
period such unit was engaged in active ground combat may be awarded the 
CIB. These Soldiers must have been personally present and engaged in 
active ground combat, to close with and destroy the enemy with direct 
fires. Retroactive awards under these criteria are not authorized for 
service prior to September 18, 2001.
    (iv) Those Soldiers possessing MOS of 18D who qualify for award of 
the Combat Medical Badge from September 18, 2001 to June 3, 2005 will 
remain qualified for the badge. Upon request any such Soldier may be 
awarded the CIB instead of the Combat Medical Badge. In such instances, 
the Soldier must submit a request through the chain of command to the 
Commander, USA HRC (see Sec. 578.3(c) for address), for conversion of 
the Combat Medical Badge to the CIB.
    (v) Service members from other U.S. Armed Forces and foreign 
military (infantry and Special Forces equivalents) assigned or attached 
as a member of a U.S. Army infantry or Special Forces unit of brigade, 
regimental, or smaller size may be considered for award of the CIB. The 
specific eligibility requirements listed in Sec. 578.69(a) must be met. 
Retroactive awards under these criteria are not authorized for service 
prior to September 18, 2001.
    (c) The CIB is authorized for award for the following qualifying 
periods:
    (1) World War II (December 7, 1941 to September 3, 1945).
    (2) The Korean War (June 27, 1950 to July 27, 1953).
    (3) Republic of Vietnam Conflict (March 2, 1961 to March 28, 1973), 
combined with qualifying service in Laos (April 19, 1961 to October 6, 
1962).
    (4) Dominican Republic (April 28, 1965 to September 1, 1966).
    (5) Korea on the DMZ (January 4, 1969 to March 31, 1994).
    (6) El Salvador (January 1, 1981 to February 1, 1992).
    (7) Grenada (October 23 to November 21, 1983).
    (8) Joint Security Area, Panmunjom, Korea (November 23, 1984).
    (9) Panama (December 20, 1989 to January 31, 1990).
    (10) Southwest Asia Conflict (January 17 to April 11, 1991).
    (11) Somalia (June 5, 1992 to March 31, 1994).
    (12) Afghanistan (Operation ENDURING FREEDOM, December 5, 2001 to a 
date to be determined).
    (13) Iraq (Operation IRAQI FREEDOM, March 19, 2003 to a date to be 
determined).
    (d) The special provisions authorized for the Vietnam Conflict, 
Laos, and Korea on the DMZ are outlined in paragraphs (d)(1) through (5) 
of this section.
    (1) During the Vietnam Conflict, any officer whose branch is other 
than infantry who, under appropriate orders, has commanded a line 
infantry (other than a headquarters unit) unit of brigade, regimental, 
or smaller size for at least 30 consecutive days is deemed to have been 
detailed in infantry and is eligible for award of the CIB 
notwithstanding absence of a written directive detailing that Soldier in 
the infantry, provided all other requirements for the award have been 
met. Orders directing the officer to assume command will be confirmed in 
writing at the earliest practicable date.
    (i) In addition, any officer, warrant officer, or enlisted Soldier 
whose branch is other than infantry, who under appropriate orders was 
assigned to advise a unit listed in paragraphs (d)(2) and (3) of this 
section or was assigned as a member of a White Star Mobile Training Team 
or a member of MAAG-Laos as indicated in paragraphs (d)(4)(i) and (ii) 
of this section will be eligible for award of the CIB provided all other 
requirements have been met.
    (ii) After December 1, 1967 for service in the Republic of Vietnam, 
noncommissioned officers serving as Command Sergeants Major of infantry 
battalions and brigades for periods of at least 30 consecutive days in a 
combat zone are eligible for award of the CIB provided all other 
requirements have been met.
    (2) Subsequent to March 1, 1961, a Soldier must have been--
    (i) Assigned as advisor to an infantry unit, ranger unit, infantry-
type unit of the civil guard of regimental or smaller size, and/or 
infantry-type unit of the self-defense corps unit of regimental or

[[Page 432]]

smaller size of the Vietnamese government during any period such unit 
was engaged in actual ground combat.
    (ii) Assigned as advisor of an irregular force comparable to the 
above infantry units under similar conditions.
    (iii) Personally present and under fire while serving in an assigned 
primary duty as a member of a tactical advisory team while the unit 
participated in ground combat.
    (3) Subsequent to May 24, 1965, to qualify for the CIB, personnel 
serving in U.S. units must meet the requirements of paragraph (b)(1) of 
this section. Individuals who performed liaison duties with the Royal 
Thai Army of the Army of the Republic of Korea combat units in Vietnam 
are eligible for award of the badge provided they meet all other 
requirements.
    (4) In Laos from April 19, 1961 to October 6, 1962, a Soldier must 
have been--
    (i) Assigned as member of a White Star Mobile Training Team while 
the team was attached to or working with a unit of regimental (groupment 
mobile) or smaller size of Forces Armee du Royaume (FAR), or with 
irregular type forces of regimental or smaller size.
    (ii) A member of MAAG-Laos assigned as an advisor to a region or 
zone of FAR, or while serving with irregular type forces of regimental 
or smaller size.
    (iii) Personally under hostile fire while assigned as specified in 
paragraphs (d)(4)(i) and (ii) of this section.
    (5) In Korea on the DMZ. The special requirements for award of the 
CIB for service in the Republic of Korea are rescinded. Army veterans 
and service members who served in Korea on or after July 28, 1953 and 
meet the criteria for award of the CIB outlined in paragraphs (a) and 
(b) of this section, may submit an application (to include supporting 
documentation) for award of the CIB to the Commander, USA HRC, (see 
Sec. 578.3(c) for address). Retroactive awards under these criteria are 
not authorized for service prior to July 29, 1953.
    (e) Subsequent awards. To date, a separate award of the CIB has been 
authorized for qualified soldiers in any of the following four 
qualifying periods:
    (1) World War II (December 7, 1941 to September 3, 1945).
    (2) The Korean Conflict (June 27, 1950 to July 27, 1953).
    (3) The Vietnam Conflict. Service in the Republic of Vietnam 
conflict (after March 1, 1961) combined with qualifying service in Laos 
(April 19, 1961 to October 6, 1962); the Dominican Republic (April 28, 
1965 to September 1, 1966); Korea on the DMZ (after January 4, 1969); El 
Salvador (January 1, 1981 to February 1, 1992); Grenada (October 23 to 
November 21, 1983); Joint Security Area, Panmunjom, Korea (November 23, 
1984); Panama (December 20, 1989 to January 31, 1990); Southwest Asia 
(January 17 to April 11, 1991); and Somalia (June 5, 1992 to March 31, 
1994) is recognized by one award only regardless of whether a soldier 
has served one or multiple tours in any or all of these areas.
    (4) Global War on Terrorism. Operation ENDURING FREEDOM (November 
20, 2001 to date to be determined) and Operation IRAQI FREEDOM (March 
19, 2003 to a date to be determined).
    (f) If a Soldier has been awarded the CIB in one of the qualifying 
periods outlined in paragraph (c) of this section, that Soldier is not 
eligible to earn the CMB in the same period.
    (g) Who may award--(1) Current awards. Current awards of the CIB may 
be awarded by the Commanding General, USA HRC and any commander 
delegated authority by the Secretary of the Army during wartime.
    (2) Retroactive awards. Retroactive awards of the Combat Infantryman 
Badge and the Combat Medical Badge may be awarded by the Commanding 
General, USA HRC to active duty Soldiers and Reserve Component Soldiers. 
Applications for retroactive award of the CIB and CMB will be forwarded 
through command channels to the Commander, USA HRC, (see Sec. 578.3(c) 
for address). Retirees and veterans should address their application to 
the NPRC, (see Sec. 578.16(a)(3) for address). Retroactive award of the 
CIB and CMB are authorized for time periods specified above to fully 
qualified individuals. Such awards will not be made except where 
evidence of injustice is presented.

[[Page 433]]

    (h) Description. A silver and enamel badge 1 inch in height and 3 
inches in width, consisting of an infantry musket on a light blue bar 
with a silver border, on and over an elliptical oak wreath. Stars are 
added at the top of the wreath to indicate subsequent awards; one star 
for the second award, two stars for the third award and three stars for 
the fourth award.



Sec. 578.70  Combat Medical Badge.

    (a) Eligibility requirements. (1) The Combat Medical Badge (CMB) may 
be awarded to members of the Army Medical Department (colonels and 
below), the Naval Medical Department (captains and below), the Air Force 
Medical Service (colonels and below), assigned or attached by 
appropriate orders to an infantry unit of brigade, regimental, or 
smaller size, or to a medical unit of company or smaller size, organic 
to an infantry unit of brigade or smaller size, during any period the 
infantry unit is engaged in actual ground combat on or after December 6, 
1941. Battle participation credit alone is not sufficient; the infantry 
unit must have been in contact with the enemy.
    (2) Award of the CMB will not be made to general or flag officers.
    (b) The following individuals are also eligible for the CMB:
    (1) Effective December 19, 1989, Special Forces personnel possessing 
military occupational specialty 18D (Special Operations Medical 
Sergeant) who satisfactorily performed medical duties while assigned or 
attached to a Special Forces unit during any period the unit is engaged 
in actual ground combat, provided they are personally present and under 
fire. Retroactive awards under these criteria are not authorized prior 
to December 19, 1989.
    (2) Effective January 16, 1991, Medical personnel outlined in 
paragraph (a) of this section, assigned or attached to armor and ground 
cavalry units of brigade or smaller size, who satisfactorily perform 
medical duties while the unit is engaged in actual ground combat, 
provided they are personally present and under fire. Retroactive awards 
under these criteria are not authorized prior to January 16, 1991.
    (3) Effective September 11, 2001, Medical personnel outlined in 
paragraphs (a) (1) and (b)(2) of this section, assigned or attached to 
or under operational control of any ground Combat Arms units (not to 
include members assigned or attached to Aviation units) of brigade or 
smaller size, who satisfactorily perform medical duties while the unit 
is engaged in actual ground combat, provided they are personally present 
and under fire. Retroactive awards under these criteria are not 
authorized prior to September 11, 2001.
    (4) Effective on or after September 18, 2001:
    (i) Medical personnel assigned or attached to or under operational 
control of any ground Combat Arms units (not to include members assigned 
or attached to Aviation units) of brigade or smaller size, who 
satisfactorily perform medical duties while the unit is engaged in 
active ground combat, provided they are personally present and under 
fire. Retroactive awards under these criteria are not authorized for 
service prior to September 18, 2001.
    (ii) Effective June 5, 2005, Soldiers possessing a MOS of 18D are no 
longer eligible for award of the CMB (see Sec. 578.69 (b)(5)(iii) of 
this part).
    (c) The CMB is authorized for award for the following qualifying 
periods:
    (1) World War II (December 7, 1941 to September 3, 1945).
    (2) The Korean War (June 27, 1950 to July 27, 1953).
    (3) Republic of Vietnam Conflict (March 2, 1961 to March 28, 1973), 
combined with qualifying service in Laos (April 19, 1961 to October 6, 
1962).
    (4) Dominican Republic (April 28, 1965 to September 1, 1966).
    (5) Korea on the DMZ (January 4, 1969 to March 31, 1994).
    (6) El Salvador (January 1, 1981 to February 1, 1992).
    (7) Grenada (October 23 to November 21, 1983).
    (8) Joint Security Area, Panmunjom, Korea (November 23, 1984).
    (9) Panama (December 20, 1989 to January 31, 1990).
    (10) Southwest Asia Conflict (January 17 to April 11, 1991).
    (11) Somalia (June 5, 1992 to March 31, 1994).
    (12) Afghanistan (Operation ENDURING FREEDOM, December 5, 2001 to a 
date to be determined).

[[Page 434]]

    (13) Iraq (Operation IRAQI FREEDOM, March 19, 2003 to a date to be 
determined).
    (d) The special provisions for the Vietnam Conflict, Laos and Korea 
on the DMZ are as follows:
    (1) For service in Vietnam Conflict:
    (i) On or after March 1, 1961, a Soldier must have been assigned to 
a Vietnamese unit engaged in actual ground combat or as a member of a 
U.S. Army infantry unit of brigade or smaller size, including Special 
Forces Detachments, serving with a Republic of Vietnam unit engaged in 
actual ground combat. The Republic of Vietnam unit must have been of 
regimental size or smaller and either an infantry, ranger, infantry-type 
unit of the civil guard, infantry-type unit of the self-defense corps, 
or the irregular forces. The Soldier must have been personally present 
and under hostile fire while assigned as specified.
    (ii) On or after May 24, 1965, Soldiers serving in U.S. units must 
meet the requirements of paragraph (b)(1) of this section. Soldiers who 
perform liaison duties with the Royal Thai Army or the Army of the 
Republic of Korea combat units in Vietnam are eligible for award of the 
badge provided they meet all other requirements.
    (2) For service in Laos, from April 19, 1961 to October 6, 1962, the 
Soldier must have been--
    (i) Assigned as member of a White Star Mobile Training Team while 
the team was attached to or working with a unit of regimental (groupment 
mobile) or smaller size of Forces Armee du Royaume (FAR), or with 
irregular-type forces of regimental or smaller size.
    (ii) A member of the Military Assistance Advisory Group (MAAG), 
Laos, assigned as an advisor to a region or zone of FAR, or while 
serving with irregular-type forces of regimental or smaller size.
    (iii) Personally under hostile fire while assigned as specified in 
paragraphs (d)(2)(i) and (ii) of this section.
    (3) For service in Korea on the DMZ. The special requirements for 
award of the CMB for service in the Republic of Korea are rescinded. 
Army veterans and service members who served in Korea on or after July 
28, 1953 and meet the criteria for award of the CMB outlined in 
paragraph (a) of this section, may submit an application (to include 
supporting documentation) for award of the CMB to the Commander, USA 
HRC, (see Sec. 578.3(c) for address). Retroactive awards under these 
criteria are not authorized for service prior to July 29, 1953.
    (e) Subsequent awards. Second and subsequent awards of the CMB are 
as follows:
    (1) Second and third awards of the CMB are indicated by 
superimposing 1 and 2 stars respectively, centered at the top of the 
badge between the points of the oak wreath. To date, a separate award of 
the CMB has been authorized for qualified soldiers who service in the 
follow four qualifying periods:
    (i) World War II.
    (ii) The Korean War.
    (iii) Vietnam Conflict. Service in the Republic of Vietnam conflict 
combined with qualifying service in Laos; the Dominican Republic; Korea 
on the DMZ; El Salvador; Grenada; Joint Secruity Area, Panmunjom, Korea; 
Panama; and Southwest Asia Conflict; and Somalia regardless of whether a 
Soldier has served one or multiple tours in any or all of these areas. 
The Vietnam Conflict Era officially terminated on March 10, 1995.
    (iv) Global War on Terrorism (Afghanistan, Operation ENDURING 
FREEDOM) and Iraq, Operation IRAQI FREEDOM.
    (2) If a Soldier has been awarded the CIB in one of the qualifying 
periods that Soldier is not eligible to earn the CMB in the same period.
    (f) Who may award. The award approval authority for the CMB is the 
same as the CIB (see Sec. 578.69(g) of this part.
    (g) Description. An oxidized silver badge 1 inch in height and 1\1/
2\ inches in width, consisting of a stretcher crossed by a caduceus 
surmounted at top by a Greek cross, all on and over an elliptical oak 
wreath. Stars are added to indicate subsequent awards; one star at top 
for the second award, one star at top and one at bottom for the third 
award, one star at top and one at each side for the fourth award.

[[Page 435]]



Sec. 578.71  Combat Action Badge.

    (a) On May 2, 2005, the Chief of Staff, Army, approved the creation 
of the Combat Action Badge (CAB) to provide special recognition to 
Soldiers who personally engage, or are engaged by the enemy.
    (b) Basic eligibility requirements. The requirements for award of 
the CAB are Branch and MOS immaterial. Assignment to a Combat Arms unit 
or a unit organized to conduct close or offensive combat operations, or 
performing offensive combat operations is not required to qualify for 
the CAB. However, it is not intended to award all Soldiers who serve in 
a combat zone or imminent danger area.
    (c) Specific eligibility requirements. (1) May be awarded to any 
Soldier.
    (2) Soldier must be performing assigned duties in an area where 
hostile fire pay or imminent danger pay is authorized.
    (3) Soldier must be personally present and actively engaging or 
being engaged by the enemy, and performing satisfactorily in accordance 
with the prescribed rules of engagement.
    (4) Soldier must be assigned or attached to a unit that would 
qualify the Soldier for the CIB or CMB. For example, an 11B assigned to 
Corps staff is eligible for award of the CAB. However, an 11B assigned 
to an infantry battalion is not eligible for award of the CAB.
    (d) In addition to Army Soldiers, the CAB may be awarded to members 
of other U.S. Armed Forces and foreign military personnel assigned to a 
U.S. Army unit, provided they meet the criteria (for example, Korean 
Augmentation to U.S. Army (KATUSA) personnel in the 2d Infantry Division 
would be eligible).
    (e) Award of the CAB is authorized from September 18, 2001, to a 
date to be determined. Award for qualifying service in any previous 
conflict is not authorized.
    (f) Second and subsequent awards of the CAB are as follows:
    (1) Only one CAB may be awarded during a qualified period.
    (2) Second and subsequent awards of the CAB will be indicated by 
superimposing one and two stars respectively, centered at the top of the 
badge between the points of the oak wreath.
    (g) Retroactive awards of the CAB are not authorized prior to 
September 18, 2001. For service on or after September 18, 2001, 
applications (with supporting documentation) for retroactive awards of 
the CAB will be forwarded through the first 2-star general in the chain 
of command to the Commander, USA HRC, (see Sec. 578.3(c) for address).
    (h) The CAB is categorized as a Group 1 Badge. See Army Regulation 
670-1 for specific wear instructions.
    (i) Soldiers may be awarded the CIB, CMB and CAB for the same 
qualifying period, provided the criteria for each badge are met. 
However, subsequent awards of the same badge within the same qualifying 
period are not authorized.
    (j) The CAB may be awarded by a commander delegated authority by the 
Secretary of the Army during wartime or the Cdr, USA HRC. Effective June 
3, 2005, commanders delegated authority to award the CAB may further 
delegate award authority to commanders in the grade of major general or 
above. The CAB will be announced in permanent orders.
    (k) Description. A silver badge 2 inches (5.08cm) in width overall 
consisting of an oak wreath supporting a rectangle bearing a bayonet 
surmounting a grenade, all silver. Stars are added at the top to 
indicate subsequent awards; one star for the second award, two stars for 
the third award and three stars for the fourth award.



Sec. 578.72  Expert Infantryman Badge.

    (a) Basic eligibility criteria--(1) Specialty skill identifier and 
Military Occupational Specialty (MOS) requirement. Candidates must be in 
an Active Army status and must possess a primary MOS in CMF 11 or 18B, 
18C, 18E, 18F, or 18Z; be warrant officers identified as 180A; or be 
infantry or special operations branch officers serving in infantry 
positions.
    (2) Duty requirement. All personnel having a Career Management Field 
(CMF) 11 or Specialty Code 11 code, regardless of their present 
assignment, are eligible to participate in the Expert Infantryman Badge 
(EIB) program. They must meet the prerequisites and

[[Page 436]]

take the test with an infantry unit of at least battalion size.
    (b) Test requirement. Personnel must meet all prerequisites and 
proficiency tests prescribed by U.S. Army Infantry Center.
    (c) Authority to test and award the badge. The following commanders 
are authorized to give EIB tests and award the badge to qualified 
soldiers in their commands:
    (1) Division commanders;
    (2) Commanders of separate infantry brigades and regiments;
    (3) Commanders of divisional brigades when authority is delegated to 
them by their division commanders;
    (4) Separate infantry battalion commanders when authority is 
delegated to them by the commander exercising general court-martial 
authority over the battalion;
    (5) Commanders of U.S. Army Training Centers;
    (6) Commandant, U.S. Army Infantry School;
    (7) Commanders of Special Forces Groups;
    (8) Commanders of separate Special Forces battalions when authority 
is delegated to them by the commander exercising general court-martial 
authority over their units;
    (9) Commanders of Reserve Component combat and training divisions, 
and brigade size units are authorized to administer EIB tests and award 
the badge to qualified personnel in the command.
    (d) Description. A silver and enamel badge \7/16\ inch in height and 
3 inches in width, consisting of an Infantry musket on a light blue bar 
with a silver border.



Sec. 578.73  Expert Field Medical Badge.

    (a) Basic eligibility criteria. (1) Officers must be assigned or 
detailed to an Army Medical Department (AMEDD) corps. This includes Army 
officers in training at the Uniformed Services University of Health 
Sciences. It also includes Army officers enrolled in the Health 
Professions Scholarship Program.
    (2) Warrant officers must have an AMEDD primary MOS controlled by 
the Surgeon General. Warrant officer pilots are also eligible, if they 
have a ``D'' SQI (Aeromedical Evacuation Pilot) and are assigned to an 
air ambulance unit.
    (3) Enlisted personnel must have a primary Military Occupational 
Specialty (MOS) in the Medical Career Management Field or an MOS of 18D.
    (4) Other U.S. Armed Services and foreign military must either be 
medical personnel or serving in comparable medical positions. The 
approval for wear of the badge by other U.S. Armed Services and foreign 
military is governed according to their respective Services guidance.
    (b) Duty requirement. Eligible personnel must be on active duty or 
assigned to a troop program unit in the Reserve component unit or an 
AMEDD mobilization augmentation agency.
    (c) Authority to test and award. The following commanders in the 
grade of Lieutenant Colonel or above are authorized to conduct the test 
and award the badge. Commanders must have the resources and facilities 
to conduct the test as prescribed by the U.S. Army Medical Department 
Center and School.
    (1) Active Army Table of Organization and Equipment (TOE) and Table 
of Distribution and Allowances (TDA) medical units.
    (2) Division support commands.
    (3) Separate regiments and brigades.
    (4) Commanders of U.S. Army Reserve and National Guard units. 
Reserve and National Guard units must conduct the test during their 
annual active duty training.
    (d) Description. An oxidized silver badge \15/16\ inch in height and 
1\7/16\ inches in width consisting of a stretcher crossed by a caduceus 
surmounted at top by a Greek cross.



Sec. 578.74  Parachutist badges.

    (a) Three degrees of badges are authorized for award: Basic 
Parachutist Badge, Senior Parachutist Badge, and Master Parachutist 
Badge.
    (b) Eligibility criteria for each badge as set forth in Parachutist 
Badge--Basic, Senior Parachutist Badge, and Master Parachutist Badge.
    (c) Special eligibility for awards will be determined from the DA 
Form 1307 (Individual Jump Record) in their military record. Each entry 
on this form

[[Page 437]]

will include pay period covered and initials of the personnel officer; 
the entry will be made only from a DA Form 1306 (Statement of Jump and 
Loading Manifest) completed by an officer or jumpmaster.
    (d) Jumps with civilian parachute clubs will not be counted in the 
number of total jumps required for each badge.
    (e) Award of the basic Parachutist Badge or advanced parachutist 
badges awarded by other U.S. Services may only be awarded if the soldier 
meets the Army criteria for the badge.
    (f) Approval authority. Award approval authorities for all three 
badges are as follows:
    (1) Commanding Generals of major Army commands (MACOM) and 
continental United States (CONUS);
    (2) Commanders of U.S. Army Corps with organic long-range 
reconnaissance companies, commanders of airborne corps, airborne 
divisions;
    (3) Commander, 4th Psychological Operations Group (Airborne);
    (4) Infantry divisions containing organic airborne elements;
    (5) Commandants of the Infantry School and the Quartermaster School;
    (6) Commanders of separate airborne regiments, separate airborne 
battalions, Special Forces Group (Airborne), and the U.S. Army John F. 
Kennedy Special Warfare Center and School;
    (7) The President, U.S. Army Airborne, Communications and 
Electronics Board;
    (8) Commander, U.S. Army Special Forces Command (Airborne);
    (9) Commander, U.S. Army Special Operations Support Command 
(Airborne).
    (g) Subsequent awards. A bronze service star is authorized to be 
worn on the Parachutist Badges to denote a soldier's participation in a 
combat parachute jump. Orders are required to confirm award of these 
badges. A soldier's combat parachute jump credit is tied directly to the 
combat assault credit decision for the unit to which the soldier is 
attached or assigned at the time of the assault. Should a unit be denied 
air assault credit, no air assault credit for purpose of this badge will 
accrue to the individual soldiers of that unit. Each soldier must 
physically exit the aircraft to receive combat parachute jump credit and 
the Parachutist badge with bronze service star.
    (h) Description. An oxidized silver badge 1\13/64\ inches in height 
and 1\1/2\ inches in width, consisting of an open parachute on and over 
a pair of stylized wings displayed and curving inward. A star and wreath 
are added above the parachute canopy to indicate the degree of 
qualification. A star above the canopy indicates a Senior Parachutist; 
the star surrounded by a laurel wreath indicates a Master Parachutist. 
Small stars are superimposed on the appropriate badge to indicate combat 
jumps as follows:
    (1) One jump: A bronze star centered on the shroud lines \3/16\ inch 
below the canopy;
    (2) Two jumps: A bronze star on the base of each wing;
    (3) Three jumps: A bronze star on the base of each wing and one star 
centered on the shroud lines \3/16\ inch below the canopy;
    (4) Four jumps: Two bronze stars on the base of each wing;
    (5) Five jumps: A gold star centered on the shroud lines \5/16\ inch 
below the canopy.



Sec. 578.75  Parachutist Badge--Basic.

    General. To be eligible for award of the basic Parachutist Badge, an 
individual must have satisfactorily completed the prescribed proficiency 
tests while assigned or attached to an airborne unit or the Airborne 
Department of the Infantry School, or have participated in at least one 
combat parachute jump as follows:
    (a) A member of an organized force carrying out an assigned tactical 
mission for which the unit was credited with an airborne assault landing 
by the theater commander;
    (b) While engaged in military operations involving conflict with an 
opposing foreign force;
    (c) While serving with friendly foreign forces engaged in an armed 
conflict against an opposing armed force in which the United States is 
not a belligerent party.



Sec. 578.76  Senior Parachutist Badge.

    To be eligible for the Senior Parachutist Badge, an individual must 
have

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been rated excellent in character and efficiency and have met the 
following requirements:
    (a) Participated in a minimum of 30 jumps to include the following:
    (1) Fifteen jumps with combat equipment to consist of normal TOE 
equipment including individual weapon carried in combat whether the jump 
was in actual or simulated combat. In cases of simulated combat the 
equipment will include water, rations (actual or dummy), ammunition 
(actual or dummy), and other essential items necessary to sustain an 
individual in combat.
    (2) Two night jumps made during the hours of darkness (regardless of 
time of day with respect to sunset) one of which will be as jumpmaster 
of a stick.
    (3) Two mass tactical jumps which culminate in an airborne assault 
problem with either a unit equivalent to a battalion or larger; a 
separate company battery; or an organic staff of regimental size or 
larger. The soldier must fill a position commensurate with his or her 
rank or grade during the problem.
    (4) For award of the Senior Parachutist Badge, the prerequisite 
requirements above must be obtained by static line parachuting.
    (b) Either graduated from the Jumpmaster Course of the Airborne 
Department of the Infantry School or the Jumpmaster School of a separate 
airborne battalion or larger airborne unit, or infantry divisions and 
separate infantry brigades containing organic airborne elements, to 
include the U.S. Army Alaska Jumpmaster Course or served as jumpmaster 
on one or more combat jumps or as a jumpmaster on 15 noncombat jumps.
    (c) Have served on jump status with an airborne unit or other 
organizations authorized parachutists for a total of at least 24 months.



Sec. 578.77  Master Parachutist Badge.

    To be eligible for the Master Parachutist Badge, an individual must 
have been rated excellent in character and efficiency and have met the 
following requirements:
    (a) Participated in a minimum of 65 jumps to include:
    (1) Twenty-five jumps with combat equipment to consist of normal TOE 
equipment, including individual weapon carried by the individual in 
combat whether the jump was in actual or simulated combat. In cases of 
simulated combat the equipment will include water rations (actual or 
dummy), ammunition (actual or dummy), and other essential items 
necessary to sustain an individual in combat.
    (2) Four night jumps made during the hours of darkness (regardless 
of the time of day with respect to sunset) one of which will be as 
jumpmaster of a stick.
    (3) Five mass tactical jumps which culminate in an airborne assault 
problem with a unit equivalent to a battalion or larger; a separate 
company/battery; or an organic staff of regimental size or larger. The 
individual must fill a position commensurate with their rank or grade 
during the problem.
    (4) For award of the Master Parachutist Badge, the prerequisite 
requirements in paragraphs (a)(1), (2) and (3) of this section must be 
obtained by static line parachuting.
    (b) Either graduated from the Jumpmaster Course of the Airborne 
Department of the Infantry School or the Jumpmaster School of a separate 
airborne battalion or larger airborne unit, or infantry divisions and 
separate infantry brigades containing organic airborne elements, to 
include the U.S. Army Alaska Jumpmaster Course, or served as jumpmaster 
on one or more combat jumps or as jumpmaster on 33 noncombat jumps.
    (c) Have served on jump status with an airborne unit or other 
organization authorized parachutists for a total of at least 36 months.



Sec. 578.78  Parachute Rigger Badge.

    (a) Eligibility requirements. Any individual who successfully 
completes the Parachute Rigger course conducted by the U.S. Army 
Quartermaster School and holds an awarded MOS of 43E (enlisted) or 401A 
(warrant officers) may be awarded the Parachute Rigger Badge. Officers 
qualify upon successful completion of one of the following courses: 
Aerial Delivery and Materiel Officer Course; Parachute Maintenance

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and Aerial Supply Officer Course; Parachute Maintenance and Airdrop 
Course (officer or enlisted) or Parachute Rigger Course (enlisted). 
Sergeants Major and Master Sergeants who hold by career progression a 
MOS of 00Z or 76Z and formerly held an awarded MOS of 43E are qualified 
for award of the Parachute Rigger Badge.
    (b) Retroactive award. The Parachute Rigger Badge may be awarded 
retroactively to any individual who graduated from the Parachute Rigger 
school after May 1951 and holds or at anytime held an awarded MOS listed 
in paragraph (a) of this section. Officers must have successfully 
completed one of the courses listed in paragraph (a) of this section to 
qualify for retroactive award of the badge. The badge may also be 
awarded retroactively to any individual who performed as a rigger prior 
to May 1951 and did not attend or graduate from the U.S. Army 
Quartermaster Center and School.
    (c) Who may award--(1) Current awards. Current awards of the 
Parachute Rigger Badge will be made by the Commandant, U.S. Army 
Quartermaster School, Fort Lee, VA 23801-5152, and the Commander, USA 
HRC (Sec. 578.3(c) for address).
    (2) Retroactive awards--(i) After 1951. Requests for award of the 
badge from individuals having no current Army status (veterans and 
retirees) who qualified after 1951 will be forwarded to the NPRC (see 
Sec. 578.16(a)(3) for address).
    (ii) Before 1951. Requests for award of the badge from individuals 
(Active duty, veterans and retirees) who qualified before 1951 will be 
submitted to the Commandant, U.S. Army Quartermaster Center and School, 
ATTN: ATSM-Q-MG (Historian), Fort Lee, VA 23801-1601. Requests must 
include written justification and will be considered on a case-by-case 
basis.
    (d) Description. A silver winged hemispherical canopy with conically 
arrayed cords, 1\3/4\ inches wide, with a band centered on the badge 
inscribed ``RIGGER.''



Sec. 578.79  Military Free Fall Parachutist Badge.

    (a) The Military Free Fall Parachutist Badges identify Special 
Operations Forces (SOF) personnel who have qualified in one of the 
military's most demanding and hazardous skills, military free fall 
parachuting.
    (b) Badge authorized. Two degrees of the Military Free Fall 
Parachutist Badges are authorized for award: Basic and Jumpmaster.
    (c) Eligibility requirements. (1) Military Free Fall Parachutist 
Badge, Basic. To be eligible for the basic badge, an individual must 
meet one of the following criteria:
    (i) Have satisfactorily completed a prescribed program of 
instruction in military free fall approved by the U.S. Army John F. 
Kennedy Special Warfare Center and School (USAJFKSWC&S); or
    (ii) Have executed a military free fall combat jump.
    (2) Military Free Fall Parachutist Badge, Jumpmaster. To be eligible 
for the Jumpmaster Badge, an individual must have satisfactorily 
completed a prescribed military free fall jumpmaster program of 
instruction approved by USAJFKSWC&S.
    (d) Approval authority. (1) The Commander in Chief, U.S. Special 
Operations Command is the approval authority for award of these badges.
    (2) The Commanding General, USAJFKSWC&S is the approval authority 
for award of the badges to qualifying personnel upon their graduation 
from USAJFKSWC&S Military Free Fall Parachutist basic and Military Free 
Fall Parachutist Jumpmaster courses.
    (3) Retroactive award. Special Operations Forces personnel who 
qualified in military free fall prior to October 1, 1994 must obtain 
approval prior to wearing the Military Free Fall Parachutist Badges. 
Requests for award of the badge will be submitted in writing to 
Commander, U.S. Army John F. Kennedy Special Warfare Center and School, 
ATTN: AFJK-GPD-SA, Fort Bragg, NC 28307-5000. Applications will include 
the following:
    (i) Name, rank, SSN, and MOS;
    (ii) Copy of official jump record, DA Form 1307 (Individual Jump 
Record), and any other supporting documents (that is, graduation or 
qualification certificates).
    (4) Veterans and retirees. Veterans and retirees may request update 
of their

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records to show permanent award of the badge by writing to the NPRC 
(Sec. 578.16 (a)(3) for address). Requests should include copy of 
official jump record, DA Form 1307 (Individual Jump Record), and any 
other support documents (that is, graduation or qualification 
certificates).
    (e) A bronze service star is authorized to be worn on all degrees of 
the Military Free Fall Parachutist Badge to denote a soldier's 
participation in a combat parachute jump. Orders are required to confirm 
award of this badge. A soldier's combat parachute jump credit is tied 
directly to the combat assault landing credit decision for the unit to 
which the soldier is assigned or attached at the time of the assault 
landing. Should a unit be denied air assault credit, no air assault 
credit for purpose of this badge will accrue to the individual soldiers 
of that unit. Each soldier must physically exit the aircraft to receive 
combat parachute jump credit and the Military Free Fall Parachutist 
badge with bronze service star.



Sec. 578.80  Army Aviator Badges.

    (a) Badges authorized. There are three degrees of the aviator badges 
authorized for award. They are as follows: Basic Army Aviator Badge, 
Senior Army Aviator Badge, and Master Army Aviator Badge.
    (b) Eligibility requirements--(1) Eligibility for U.S. personnel. An 
individual must have satisfactorily completed prescribed training and 
proficiency tests as outlined in AR 600-105, and must have been 
designated as an aviator in orders issued by headquarters indicated 
above.
    (2) Eligibility for foreign military personnel. While only U.S. 
officers may be awarded an aeronautical rating, the Army Aviator Badge 
may be awarded to foreign military graduates of initial entry flight-
training courses conducted at the U.S. Army Aviation Center. The Senior 
and Master Army Aviator Badges may be awarded to foreign military 
personnel rated as pilots who meet or exceed eligibility criteria 
required of U.S. Army officers for the respective badges, and subject to 
the regulations of their countries. As a minimum, foreign officers 
recommended for award of advanced aviator badges must--
    (i) Be currently qualified for flying duty in their own military 
service.
    (ii) Be medically qualified.
    (iii) If not a graduate of an initial entry U.S. Army aviation 
course, have attended a formal training or aircraft transition course 
conducted at Fort Rucker or at an U.S. Army Aviation Training School.
    (iv) Have 1000 flying hours in aircraft and 7 years from basic 
rating date for the Senior Aviator Badge; have 2000 hours in aircraft 
and 15 years from basic rating date for the Master Aviator Badge. Total 
Operational Flying Duty Credit (TOFDC) which may be applied by U.S. 
officers to qualify for advanced badges will not be used to justify 
awards to foreign officers.
    (c) Approval authority. Badge approval authority is as follows:
    (1) The Commander, U.S. Army Aviation Center and Fort Rucker, to 
U.S. student aviators upon successful completion of courses leading to 
an aeronautical rating of Army Aviator, and to foreign military 
personnel under the provisions of paragraph (d) of this section.
    (2) CG, USA HRC (HRC-OPA-V) to inter-service transfers who 
previously held an aeronautical rating in another service.
    (3) Commanders having general court-martial convening authority may 
award the Senior or Master Army Aviator Badge to officers on extended 
active duty.
    (4) Major Army overseas commanders, CONUSA (the numbered armies in 
the continental United States) commanders, and CDR, USA HRC may award 
the Senior and Master Aviator Badge to U.S. Army Reserve personnel not 
on extended active duty in the Active Army.
    (5) Chief, National Guard Bureau may award the Senior or Master 
Aviator Badge to Army National Guard (ARNG) personnel not on extended 
active duty in the Active Army.
    (d) Army Astronaut Device. A gold colored device, \7/16\ inch in 
length, consisting of a star emitting three contrails encircled by an 
elliptical orbit. It is awarded by the Chief of

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Staff, Army, to personnel who complete a minimum of one operational 
mission in space (50 miles above earth) and is affixed to the 
appropriate Army Aviator Badge, Flight Surgeon Badge, or Aviation Badge 
awarded to the astronaut. Individuals who have not been awarded one of 
the badges listed above but who meet the other astronaut criteria will 
be awarded the basic Aviation Badge with Army Astronaut Device.
    (e) Description. An oxidized silver badge \3/4\ inch in height and 
2\1/2\ inches in width, consisting of the shield of the coat of arms of 
the United States on and over a pair of displayed wings. A star is added 
above the shield to indicate qualification as a Senior Army Aviator. The 
star is surrounded with a laurel wreath to indicate qualification as a 
Master Army Aviator.



Sec. 578.81  Flight Surgeon Badges.

    (a) Badges authorized. Three levels of Flight Surgeon Badges are 
authorized for award, Basic Flight Surgeon Badge; Senior Flight Surgeon 
Badge; and Master Flight Surgeon Badge.
    (b) Eligibility requirements. Any Army Medical Corps officer who 
satisfactorily completes the training and other requirements prescribed 
by AR 600-105.
    (c) Badge approval authority. (1) The basic Flight Surgeon Badge may 
be awarded by the Commanding General, U.S. Army Aviation Center and Fort 
Rucker. The CG will award the badge to those U.S. medical officers who 
have been awarded an aeronautical designation per AR 600-105 and to 
foreign military personnel who complete the training and the 
requirements prescribed by AR 600-105.
    (2) Senior and Master Flight Surgeon Badges may be awarded by the 
following:
    (i) The Surgeon General. Forward requests to HQDA (DASG-HCZ, WASH DC 
20310-2300.
    (ii) The Chief, National Guard Bureau to National Guard personnel 
not on active duty. Forward requests to the National Guard Bureau, 
Military Personnel Office, 111 South George Mason Drive, Arlington, VA 
22204-1382.
    (d) Description. An oxidized silver badge \23/32\ inch in height and 
2\1/2\ inches in width, consisting of a shield, its field scored with 
horizontal lines and bearing the Staff of Aesculapius on and over a pair 
of displayed wings. A star is added above the shield to indicate the 
degree of Senior Flight Surgeon and the star is surrounded with a laurel 
wreath to indicate the degree of Master Flight Surgeon.



Sec. 578.82  Diver Badges.

    (a) Badges authorized. There are five types of Diver Badges 
authorized for award, Master Diver Badge; First-Class Diver Badge; 
Salvage Diver Badge; Second-Class Diver Badge; and Scuba Diver Badge.
    (b) Navy Badges. The following Navy Diving Badges may also be worn 
on the Army uniform after written approval is obtained from HQ, AHRC 
(Sec. 578.3(c)): Diving Officer and Diving Medical Officer. The 
eligibility criteria and approval authority for these two badges is 
provided in Army Regulation AR 611-75, Selection, Qualification, Rating 
and Disrating of Marine Divers.
    (c) Eligibility requirements. See AR 611-75.
    (d) Badge approval authority. See AR 611-75.
    (e) Descriptions. (1) Scuba--A 1 inch high silver badge consisting 
of a scuba diver's hood with face mask, mouthpiece, and breathing tubes. 
The width is \31/32\ inch.
    (2) Salvage--A silver diving helmet, 1 inch in height, with the 
letter ``S'' \3/8\ inch in height, superimposed on the chest plate. The 
width is \23/32\ inch.
    (3) Second Class--A silver diving helmet 1 inch in height. The width 
is \23/32\ inch.
    (4) First Class--A silver diving helmet \15/16\ inch in height, 
between two dolphins, 1 inch high. The width is 1\3/32\ inches.



Sec. 578.83  Special Operations Diver Badge.

    (a) The Scuba Diver Badge was renamed the Special Operations Diver 
Badge (SODB). In additional to the SODB, another skill level was 
created, Special Operations Diving Supervisor Badge (SODSB).
    (b) Eligibility criteria. The basic eligibility criteria for award 
of the SODB and the SODSB are as follows:

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    (1) The SODB is awarded to graduates of the U.S. Army John F. 
Kennedy Special Warfare Center and School (USAJFKSWCS) Combat Diver 
Qualification Course (CDQC), Special Forces Underwater Operations, Key 
West, Florida or any other United States Army Special Operations Command 
(USASOC) approved combat diver qualification course.
    (2) The SODSB is awarded to graduates of the USAJFKSWCS CDQC, 
Special Forces Underwater Operations, Key West, Florida or any other 
USASOC approved combat diving supervisor course. Prerequisite for the 
SODSB is the SODB.
    (c) Approval authority. The Commanding General, USAJFKSWCS is the 
approval authority for the SODB and the SODSB.
    (d) Retroactive award. The SODB and the SODSB may be awarded 
retroactively to members of any service who successfully completed the 
USAJFKSWCS CDQC and the Combat Diving Supervisor Course on or after 
October 1, 1964. Retroactive award requests will be submitted to the 
Commander, USAJFKSWCS, ATTN: AOJK-GPB (C/21 SWTG LNO), Fort Bragg, NC 
28310. Retroactive requests for veterans must be forwarded to the 
National Personnel Records Center, ATTN: NRPMA-M, 9700 Page Avenue, St. 
Louis, MO 63132-5100.
    (e) Revocation. The SODB and the SODSB may be revoked by the 
Commander, USAJFKSWCS or the CG, USA HRC, based on the recommendation of 
the field commander (COL and above). If the commander believes the 
individual has exhibited a pattern of behavior or duty performance that 
is inconsistent with expectations of the Army, or the qualified service 
member does not continuously demonstrate enhanced degrees of confidence, 
commitment, competency and discipline, then the badge may be revoked. 
Award of the SODB and the SODSB may be revoked for any of the following 
conditions:
    (1) Dismissal, dishonorable discharge, or conviction by courts-
martial for desertion in time of war.
    (2) Failure to maintain prescribed standards of personal fitness and 
readiness to accomplish missions commensurate with position and rank.
    (3) Upon relief or release for cause.
    (f) Description. (1) SODB. A silver badge 1\1/8\ inches (2.86cm) in 
height consisting of a diver's head in full gear in front of two crossed 
Sykes-Fairbain Commando daggers points up. Around either side of the 
diver's head is diving shark with tail fin behind the dagger point.
    (2) SODSB. A silver badge 1\1/8\ inches (2.86cm) in height 
consisting of a diver's head in full gear in front of two crossed Sykes-
Fairbain Commando daggers points up. Around either side of the diver's 
head a diving shark with tail fin behind the dagger point. Over the 
mouth piece is a star surrounded by a wreath of laurel.



Sec. 578.84  Explosive Ordnance Disposal Badges.

    (a) Badges authorized. There are three types of explosive ordnance 
disposal (EOD) badges authorized for award. They are the Basic, Senior, 
and Master.
    (b) Badge approval authority. Commanding generals of divisions and 
higher commands; commanders of separate groups or equivalent 
headquarters exercising operational control of EOD personnel or units, 
Commandant, U.S. Army Ordnance Missile & Munitions Center & School, and 
a commander of an EOD Control Group, or units may approve awards of all 
levels of badges.
    (c) Basic eligibility criteria. Eligibility requirements for each 
badge are provided below.
    (d) Description. A silver badge, 1\3/4\ inches in height, consisting 
of shield charged with a conventional, drop bomb, point down, from which 
radiates four lightning flashes, all in front of and contained within a 
wreath of laurel leaves. The Senior Explosive Ordnance Disposal Badge is 
the same as the basic badge except the drop bomb bears a \7/32\ inch 
silver star. The Master Explosive Ordnance Disposal Badge is the same as 
the Senior Badge except a star, surrounded by a laurel wreath, is added 
above the shield.



Sec. 578.85  Explosive Ordnance Disposal Badge--Basic.

    (a) Eligibility requirements. Any commissioned officer or enlisted 
soldier

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may be awarded the badge if he or she meets, or has met, all the 
following requirements:
    (1) Successful completion of conventional render safe qualification 
as prescribed for the Explosive Ordnance Disposal (EOD) course of 
instruction (minimum requirement).
    (2) Assigned in a TOE or TDA EOD position for which basic EOD course 
is a prerequisite.
    (3) Service in a position in paragraph (a)(2) of this section must 
be satisfactory for a period of 18 months for the award to be permanent.
    (4) Officers must have a special skill identifier of 91E, and 
enlisted personnel must hold the military occupational specialty 55D.
    (b) Who may award. See Sec. 578.84 of this part.



Sec. 578.86  Senior Explosive Ordnance Disposal Badge.

    (a) Eligibility requirements. Any commissioned officer or enlisted 
soldier may be awarded the badge if he or she has:
    (1) Been awarded the basic Explosive Ordnance Disposal Badge and 
effective May 1, 1989, has served 36 months cumulative service assigned 
to a TOE or table of distribution (TD) EOD position following award of 
basic badge.
    (2) Effective May 1, 1989, has served 36 months cumulative service 
assigned to a TOE or TD EOD position following award of the basic badge. 
Prior to May 1, 1989, must have served 18 months cumulative service 
assigned to a TOE or TD EOD position following award of the basic badge.
    (3) Been recommended for the award by immediate commander.
    (4) Current explosive ordnance disposal qualifications at the time 
of recommendation for the award.
    (b) Who may award. See Sec. 578.84 of this part.



Sec. 578.87  Master Explosive Ordnance Disposal Badge.

    (a) Eligibility requirements. Any commissioned officer, or enlisted 
soldier may be awarded the badge if he or she meets, or has met, all the 
following requirements:
    (1) Must have been awarded the Senior Explosive Ordnance Disposal 
Badge.
    (2) Sixty months cumulative service assigned to a TOE or TD officer 
or noncommissioned officer EOD position since award of Senior Explosive 
Ordnance Disposal Badge.
    (3) Must be recommended for the award by immediate commander.
    (4) Explosive ordnance disposal qualifications must be current at 
the time of recommendation for the award.
    (b) Who may award. See Sec. 578.84 of this part.



Sec. 578.88  Pathfinder Badge.

    (a) Eligibility criteria. (1) Successful completion of the 
Pathfinder Course conducted by the U.S. Army Infantry School.
    (2) Any person previously awarded the Pathfinder award for 
completion of Pathfinder training is authorized award of the Pathfinder 
Badge.
    (b) Badge approval authority. The Pathfinder Badge may be approved 
by the Commandant, U.S. Army Infantry School.
    (c) Description. A gold color metal and enamel badge 1\3/16\ inches 
in height and 1\1/2\ inches in width, consisting of a gold sinister wing 
displayed on and over a gold torch with red and gray flames.



Sec. 578.89  Air Assault Badge.

    (a) Basic eligibility criteria. The basic eligibility criteria 
consist of satisfactory completion of--
    (1) An air assault training course according to the TRADOC 
standardized Air Assault Core Program of Instruction.
    (2) The standard Air Assault Course while assigned or attached to 
101st Airborne Division (Air Assault) since April 1, 1974.
    (b) Badge approval authority. Badge approval authority is as 
follows:
    (1) Commanders of divisions and separate brigades.
    (2) The Commander, 101st Airborne Division (Air Assault).
    (c) Description. An oxidized silver badge \3/4\ inch in height and 
1\17/32\ inches in width, consisting of a helicopter, frontal view, 
superimposed upon a pair of stylized wings displayed and curving. The 
wings suggest flight and together with the helicopter symbolize 
individual skills and qualifications in

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assault landings utilizing the helicopter.



Sec. 578.90  Aviation Badges.

    (a) Badges authorized. There are three degrees of Aviation Badge 
(formerly the Aircraft Crew Member Badge) authorized for award, Basic, 
Senior and Master.
    (b) Badge approval authority. Commanders exercising jurisdiction 
over the individuals' personnel records will make permanent award of 
these badges. Permanent award of these badges based upon wounds or 
combat missions will be referred to Commander, USA HRC (see Sec. 
578.3(c) for address). Request for award of the Senior and Master 
Aviation Badges that cannot be resolved at the MPD/PSC will be forwarded 
to the Commander, U.S. Army Aviation Center, ATTN: ATZQ-AP, Fort Rucker, 
AL 36362-5000.
    (c) Special policy. (1) The retroactive date for these badges is 
January 1, 1947.
    (2) The Master Aviation Badge and the Senior Aviation Badge are 
authorized for permanent wear. The Basic Aviation Badge may be 
authorized for temporary or permanent wear. An officer awarded an 
Aviation Badge while serving in an enlisted status is authorized to wear 
the badge as a permanent part of the uniform.
    (d) Eligibility requirements for each badge are provided in 
Sec. Sec. 578.91, 578.92, and 578.93.
    (e) Description. An oxidized silver badge \3/4\ inch in height and 
2\2/12\ inches in width, consisting of a shield with its field scored 
with horizontal lines and bearing the coat of arms of the United States 
on and over a pair of displayed wings. A star is added above the shield 
to indicate the degree of Senior Aviation Badge and the star is 
surrounded with a laurel wreath to indicate the degree of Master 
Aviation Badge.



Sec. 578.91  Aviation Badge--Basic.

    (a) Permanent award. (1) For permanent award of this badge, an 
individual must be on flying status, (physically qualified-class III), 
IAW AR 600-106 or be waived by HQDA, have performed in-flight duties for 
not less than 12 hours (not necessarily consecutive), or is school 
trained.
    (2) An officer on flying status as an aerial observer may be awarded 
the Basic Aviation Badge. U.S. Army personnel assigned to a Joint 
Service Airborne Command Post and serving as members of an operational 
team on flying status manning the Airborne Command Post are eligible for 
the award of the Basic Aviation Badge. Concurrent with such assignment, 
these personnel are authorized temporary wear of the Basic Aviation 
Badge until relieved from such duty or until such time as he or she 
fulfills the mandatory requirements for permanent award.
    (3) An individual who has been incapacitated for further flight duty 
by reason of being wounded as a result of enemy action, or injured as 
the result of an aircraft accident for which he or she was not 
personally responsible, or has participated in at least 15 combat 
missions under probable exposure to enemy fire while serving in a 
principal duty outlined in paragraph (a)(1) of this section, is 
permanently authorized to wear the Basic Aviation Badge.
    (4) The Basic Aviation Badge may be permanently awarded to soldiers 
upon successful completion of formal advanced individual training (AIT) 
in Career Management Field (CMF) 67 and CMF 93 MOS', and to soldiers who 
previously completed AIT in CMF 28 MOS'. This includes soldiers who 
graduated from AIT for MOS' in the 68 series. Soldiers holding MOS' 35L, 
35M, 35Q, and 35W who graduated from a CMF 67 AIT prior to September 30, 
1996 and MOSs 93C and 93P who graduated from a CMF 67 AIT after December 
31, 1985 are authorized based on documented prior AIT.
    (5) Individuals who meet the criteria for award of the Army 
Astronaut Device and are not authorized an Aviator, Flight Surgeon or 
Aviation Badge will be awarded the Aviation Badge in addition to the 
Army Astronaut Device.
    (6) The Aviation Badge may be permanently awarded to soldiers upon 
successful completion of formal AIT in CMF 93 MOS'. Soldiers previously 
holding MOS 93B who graduated from a CMF 93 AIT prior to January 1, 1998 
and soldiers previously holding MOS 93D who graduated from a CMF 93 AIT

[[Page 445]]

prior to September 30, 1996 are authorized the badge based on documented 
AIT after December 31, 1985.
    (b) Temporary award. For temporary award of this badge, the 
commander of any Army unit that has Army aircraft assigned may authorize 
in published orders qualified personnel of his or her command to wear 
the Aviation Badge. The individual must be performing in-flight duties.



Sec. 578.92  Senior Aviation Badge.

    (a) Eligibility criteria. For award of this badge, an individual 
must either successfully perform 7 years on flight status (physically 
qualified-class III) in a principal duty assignment described in AR 600-
106 or serve in CMF 67 and 93, including all 68 series MOS'. Warrant 
Officers MOS' 150A and 151A, and MOS 00Z individuals from CMF 67 or 93 
field may qualify for the Senior Aviation Badge with 10 years of 
experience and meet the following criteria:
    (1) Only time involving frequent and regular flights will be counted 
toward fulfillment of this requirement, except that time involved in 
transit between PCS assignments to include TDY, will also be credited.
    (2) Soldiers who retain CMF 67 or 93 while performing career 
progressive assignments, especially duties as Drill Sergeant, Recruiter, 
Career Management NCO, Career Advisor, Instructor or Equal Opportunity 
Advisor will be counted towards this requirement not to exceed 36 
months. Warrant Officers MOS 150A or 151A may qualify for this badge 
after successfully performing 7 years on flight status or 10 years 
experience in CMF 67 or 93, MOS 151A or 150A. Prior enlisted CMF 67 time 
may count with MOS 151A experience and CMF 93 time may count with MOS 
150A experience to fulfill this requirement. The retroactive date for 
this badge under these criteria is January 1, 1983.
    (3) Displayed complete competence in the principal duty or duties 
performed leading to this award.
    (4) Attained the grade of E-4 or higher.
    (5) Be recommended by the unit commander of the unit to which 
presently assigned.
    (b) Retroactive award. The retroactive date for award of this badge 
is February 1, 1989 for CMF 93, Warrant Officer MOS' 150A and 151A and 
individuals in MOS 00Z. Soldiers holding CMF 93 or MOS 93D, prior to 
September 30, 1996 and MOS 93B prior to January 1, 1998, may qualify for 
award of the Senior Aviation Badge based on documented experience.



Sec. 578.93  Master Aviation Badge.

    (a) For award of this badge, an individual must either successfully 
perform 15 years on flight status (physically qualified-class III) in a 
principal duty assignment described in AR 600-106 or serve in CMF 67 or 
93, including all 68 series MOS'. Warrant Officers MOS' 150A and 151A 
and individuals in MOS 00Z from a CMF 67 or 93 field, may qualify for 
the Master Aviation Badge with 17 years of experience and meet the 
following criteria:
    (1) Only time involving frequent and regular flights will be counted 
toward fulfillment of this requirement, except that time involved in 
transit between PCS assignments, to include TDY, will also be credited.
    (2) Soldiers that retain CMF 67 or 93 while performing career 
progressive assignments, especially duties as Drill Sergeant, Recruiter, 
Career Management NCO, Career Advisor, Instructor or Equal Opportunity 
Advisor, will be counted towards this requirement not to exceed 36 
months. Warrant Officer MOS' 150A and 151A may qualify for this badge 
after successfully performing 15 years on flight status or 17 years 
experience in CMF 67 or 93 or MOS 150A and 151A. Prior enlisted CMF 67 
time may count with MOS 151A experience and CMF 93 time may count with 
MOS 150A experience to fulfill this requirement.
    (3) Displayed complete competence in the principal duty or duties 
performed leading to this award.
    (4) Attained the grade of E-6 or higher.
    (5) Be recommended by the unit commander and endorsed by the next 
higher commander of the unit to which presently assigned.
    (b) Retroactive date. The retroactive date for the badge under these 
revised criteria is January 1, 1976. The retroactive date for CMF 93, 
Warrant Officer MOS' 150A and 151A and individuals in

[[Page 446]]

MOS 00Z is February 1, 1982. Soldiers holding CMF 93, MOS 93D, prior to 
September 30, 1996 and MOS 93B, prior to January 1, 1998, may qualify 
for award of the Master Aviation Badge based on documented experience.



Sec. 578.94  Driver and Mechanic Badge.

    (a) Basic criteria. The Driver and Mechanic Badge is awarded to 
drivers, mechanics, and special equipment operators to denote the 
attainment of a high degree of skill in the operation and maintenance of 
motor vehicles.
    (b) Badge approval authority. Commanders of brigades, regiments, 
separate battalions, and any commander in the rank of lieutenant colonel 
or higher.
    (c) Eligibility requirements for drivers. A soldier must--
    (1) Qualify for and possess a current OF 346 (U.S. Government Motor 
Vehicles Operator's Identification Card), issued as prescribed by AR 
600-55 and,
    (2) Be assigned duties and responsibilities as a driver or assistant 
driver of government vehicles for a minimum of 12 consecutive months, or 
during at least 8,000 miles and with no government motor vehicle 
accident or traffic violation recorded on his or her DA Form 348-1-R 
(Equipment Operator's Qualification Record (Except Aircraft)), or,
    (3) Perform satisfactorily for a minimum period of 1 year as an 
active qualified driver instructor or motor vehicle driver examiner.
    (d) Eligibility requirements for mechanics. A soldier must--
    (1) Pass aptitude tests and complete the standard mechanics' course 
with a ``skilled'' rating or have demonstrated possession of sufficient 
previous experience as an automotive or engineer equipment mechanic to 
justify such a rating.
    (2) Be assigned to primary duty as an automotive or engineer 
mechanic, unit level or higher, or is an active automotive or engineer 
mechanic instructor.
    (3) If required to drive an Army motor vehicle in connection with 
automotive mechanic or automotive mechanic instructor duties, qualify 
for motor vehicle operators permit as prescribed above, and perform duty 
which includes driving motor vehicles for a minimum of 6 consecutive 
months, and has no Army motor vehicle accident or traffic violation 
recorded on his or her DA Form 348 (Equipment Operator's Qualification 
Record (Except Aircraft)).
    (e) Eligibility requirements for operators of special mechanical 
equipment. A soldier or civilian whose primary duty involves operation 
of Army materials handling or other mechanical equipment must have 
completed 12 consecutive months or 500 hours of operation, whichever 
comes later, without accident or written reprimand as the result of his 
or her operation, and his or her operating performance must have been 
adequate in all respects.
    (f) Description. A white metal (silver, nickel and rhodium), 1 inch 
in height and width, a cross patee with the representation of disk wheel 
with tire placed on the center. Component bars are authorized only for 
the following types of vehicles and/or qualifications:
    (1) Driver--W (for wheeled vehicles);
    (2) Driver--T (for tracked vehicles);
    (3) Driver--M (for motorcycles);
    (4) Driver--A (for amphibious vehicles);
    (5) Mechanic (for automotive or allied vehicles);
    (6) Operator--S (for special mechanical equipment).



Sec. 578.95  Glider Badge (Rescinded).

    (a) Effective May 3, 1961, the Glider Badge is no longer awarded. An 
individual who was awarded the badge upon satisfying then current 
eligibility requirements may continue to wear the badge. Further, it may 
be awarded retroactively upon application to the Commander, USA HRC (see 
Sec. 578.3(c) for address), when it can be established by means of 
sufficient documentation that the proficiency tests then prescribed were 
satisfactorily completed while assigned or attached to an airborne unit 
or to the Airborne Department of the Infantry School, or by 
participation in at least one combat glider landing into enemy-held 
territory as a member of an organized force carrying out an assigned 
tactical mission for which the unit was credited with an airborne 
assault landing by the theater commander.

[[Page 447]]

    (b) Description. An oxidized silver badge \11/16\ inch in height and 
1\1/2\ inches in width consisting of a glider, frontal view, 
superimposed upon a pair of stylized wings displayed and curving inward.



Sec. 578.96  Nuclear Reactor Operator Badge (Rescinded).

    (a) Effective October 1, 1990, the Nuclear Reactor Operator Badges 
are no longer awarded. The Army has not conducted nuclear reactor 
operations or nuclear reactor operator training in several years. 
Accordingly, the Nuclear Reactor Operator Badges will no longer be 
awarded. Current Army recipients who were permanently awarded any degree 
of the badge may continue to wear it on the Army uniform. AR 672-5-1, 
dated October 1, 1990, terminated authorization to award the badge.
    (b) Description--(1) Basic. On a \7/8\ inch square centered on two 
horizontal bars each \1/8\ inch in width separated by a \3/32\ inch 
square and protruding \1/8\ inch from each side of the square, a disc 
\3/4\ inch in diameter bearing the symbol of the planet Uranus all 
silver colored metal \7/8\ inch in height overall.
    (2) Second Class Operator. The basic badge reduced in size placed on 
and partially encircled at the base by an open laurel wreath, the ends 
of the upper bar resting on the tips of the wreath, all of silver 
colored metal 1 inch in height overall. The areas between the wreath and 
the basic badge are pierced.
    (3) First Class Operator. The basic badge reduced in size is placed 
on and entirely encircled by a closed laurel wreath all of silver 
colored metal 1 inch in height overall. The areas between the wreath and 
the basic badge are pierced.
    (4) Shift Supervisor. The design of the Shift Supervisor Badge is 
the same as the First Class Operator Badge, except it is gold colored 
metal.



Sec. 578.97  Marksmanship Qualification Badge.

    (a) Eligibility criteria. A basic marksmanship qualification badge 
is awarded to indicate the degree in which an individual, military or 
civilian, has qualified in a prescribed record course and an appropriate 
bar is furnished to denote each weapon with which he or she qualified. 
Each bar will be attached to the basic badge that indicates the 
qualification last attained with the respective weapon. Basic 
qualification badges are of three classes. Expert, sharpshooter, and 
marksman. The only weapons for which component bars are authorized are 
listed in Table 10. Basic marksmanship qualification badges are awarded 
to U.S. military and civilian personnel, and to foreign military 
personnel who qualify as prescribed.
    (b) Approval authority--(1) To military personnel. Any commander in 
the rank or position of lieutenant colonel or higher may make awards to 
members of the Armed Forces of the United States; Camp/Post Commanders, 
Professors of Military Science, Directors of Army Instruction/Senior 
Army Instructors (DAI/SAI) or Reserve Officers' Training Corps (ROTC)/ 
Junior Reserve Officers' Training Corps (JROTC) units may make awards to 
members of the ROTC/JROTC.
    (2) To civilian personnel. Installation commanders may make the 
authorization for civilian guards to wear marksmanship badges. Civilian 
guards will procure badges at their own expense.
    (c) Description--(1) Expert. A white metal (silver, nickel and 
rhodium), 1.17 inches in height, a cross patee with the representation 
of a target placed on the center thereof and enclosed by a wreath;
    (2) Sharpshooter. A white metal (silver, nickel, and rhodium), 1 
inch in height, a cross patee with the representation of a target placed 
on the center thereof;
    (3) Marksman. A white metal (silver, nickel, and rhodium), 1 inch in 
height, a cross patee.
    (d) Component bars. Weapons for which component bars are authorized 
are provided in Table 10 below.

       Table 10.--Weapons for Which Component Bars Are Authorized
------------------------------------------------------------------------
                  Weapon                             Inscription
------------------------------------------------------------------------
Rifle.....................................  Rifle.
Pistol....................................  Pistol.
Antiaircraft artillery....................  AA Artillery.
Automatic rifle...........................  Auto Rifle.
Machinegun................................  Machinegun.
Field Artillery...........................  Field Arty.
Tank Weapons..............................  Tank Weapons.
Flamethrower..............................  Flamethrower.

[[Page 448]]

 
Submachine Gun............................  Submachine Gun.
Rocket Launcher...........................  Rocket Launcher.
Grenade...................................  Grenade.
Carbine...................................  Carbine.
Recoilless rifle..........................  Recoilless rifle.
Mortar....................................  Mortar.
Bayonet...................................  Bayonet.
Rifle, small bore.........................  Small bore rifle.
Pistol, small bore........................  Small bore pistol.
Missile...................................  Missile.
Aeroweapons...............................  Aeroweapons.
------------------------------------------------------------------------



Sec. 578.98  Ranger Tab.

    (a) Basic eligibility criteria. The basic eligibility criteria for 
award of the Ranger Tab is as follows:
    (1) Successful completion of a Ranger course conducted by the U.S. 
Army Infantry School.
    (2) Any person who was awarded the Combat Infantryman Badge while 
serving during World War II as a member of a Ranger Battalion (1st-6th 
inclusive) or in the 5307th Composite Unit (Provisional) (Merrill's 
Marauders).
    (3) Any person who successfully completed a Ranger course conducted 
by the Ranger Training Command at Fort Benning, GA.
    (b) Award approval authority. The Commandant of the U.S. Army 
Infantry School; CG, USA HRC, and the Cdr, USA HRC-St. Louis, may award 
the Ranger Tab.
    (c) Description. The ranger qualification tab is 2\3/8\ inches wide 
with a black embroidered background and yellow embroidered border and 
letters. A subdued version with olive drab background and border and 
black letters is authorized for work uniforms.



Sec. 578.99  Special Forces Tab.

    (a) Basic eligibility criteria. Any person meeting one of the 
criteria below may be awarded the Special Forces (SF) Tab:
    (1) Successful completion of USAJFKSWCS approved Active Component 
(AC) institutional training leading to SF qualification;
    (2) Successful completion of a USAJFKSWCS approved Reserve Component 
(RC) SF qualification program;
    (3) Successful completion of an authorized unit administered SF 
qualification program.
    (b) Award approval authority. The Commander, U.S. Army John F. 
Kennedy Special Warfare Center (USAJFKSWCS), Fort Bragg, NC 28307-5000.
    (c) Active Component institutional training. The SF Tab may be 
awarded to all personnel who successfully complete the Special Forces 
Qualification Course or Special Forces Detachment Officer Qualification 
Course (previously known as the Special Forces Officer Course). These 
courses are/were conducted by the USAJFKSWC (previously known as the 
U.S. Army Institute for Military Assistance).
    (d) Reserve Component SF qualification programs. The SF Tab may be 
awarded to all personnel who successfully complete a RC SF qualification 
program according to TRADOC Regulation 135-5, dated June 1, 1988 or its 
predecessors. The USAJFKSWCS will determine individual entitlement for 
award of the SF Tab based on historical review of Army, Continental Army 
Command (CONRAC), and TRADOC regulations prescribing SF qualification 
requirements in effect at the time the individual began an RC SF 
qualification program.
    (e) Unit administered SF qualification programs. The SF Tab may be 
awarded to all personnel who successfully completed unit administered SF 
qualification programs as authorized by regulation. The USAJFKSWCS will 
determine individual entitlement to award of the SF Tab based upon 
historical review of regulations prescribing SF qualification 
requirements in effect at the time the individual began a unit 
administered SF qualification program.
    (f) Wartime service. The SF Tab may be awarded to all personnel who 
performed the following wartime service.
    (1) Prior to 1955. Service for at least 120 consecutive days in one 
of the following organizations: 1st Special Service Force, August 1942 
to December 1944, OSS Detachment 101, April 1942 to September 1945, OSS 
Jedburgh Detachments, May 1944 to May 1945, OSS Operational Groups, May 
1944 to May 1945, OSS Maritime Unit, April 1942 to September 1945, 6th 
Army Special Reconnaissance Unit (Alamo Scouts), February 1944 to 
September 1945, and

[[Page 449]]

8240th Army Unit, June 1950 to July 1953.
    (2) 1955 through 1975. Any company grade officer or enlisted member 
awarded the CIB while serving for at least 120 consecutive days in one 
of the following type organizations: SF Operational Detachment-A (A-
Team), Mobile Strike Force, SF Reconnaissance Team, and SF Special 
Project Unit.
    (g) Description. The SF Tab is 3\1/4\ inches wide with a teal blue 
embroidered background and border and yellow embroidered letters. A 
subdued version with olive drab background and borders and black letters 
is authorized for work uniforms. A metal SF Badge is authorized for wear 
on the mess/dress uniforms and green shirt.



Sec. 578.100  Sapper Tab.

    (a) Purpose. The Sapper Tab was established by the Chief of Staff, 
Army, on June 28, 2004. It is authorized for award to U.S. military and 
civilian personnel and foreign military personnel who meet the 
prescribed eligibility criteria.
    (b) Basic eligibility criteria. The basic eligibility criteria for 
award of the Sapper Tab is as follows:
    (1) Successful graduation of a Sapper Leader Course conducted by the 
U.S. Army Engineer School.
    (2) Any person who successfully graduates from a Sapper Leaders 
Course conducted by the U.S. Army Engineer School at Fort Leonard Wood, 
MO.
    (3) The tab may be awarded retroactively to any person who 
successfully completed the Sapper Leaders Course on or after June 14, 
1985.
    (c) Revocation. The Sapper Tab may be revoked by the Commandant, 
U.S. Army Engineer School or the CG, USA HRC based on the recommendation 
of the field commander (Colonel and above) of the individual in 
question. This can be based on the opinion of that commander, that the 
individual has exhibited a pattern of behavior, expertise or duty 
performance that is inconsistent with expectations of the Army, that is, 
degree of confidence, commitment, competency and discipline. Award of 
the Sapper Tab may be revoked for any of the following conditions:
    (1) Dismissal, dishonorable discharge, or conviction by court's 
martial for desertion in time of war.
    (2) Failure to maintain prescribed standards of personal fitness and 
readiness to accomplish missions commensurate with position and rank.
    (3) Upon relief or release for cause.
    (d) Award approval authority. The Commandant of the U.S. Army 
Engineer School and the CG, USA HRC, may award the Sapper Tab.
    (e) Description. The full color tab is 2\3/8\ inches (6.03 cm) long, 
\11/16\ inch (1.75 cm) wide, with a \1/8\ inch (.32 cm) red border and 
the word ``SAPPER'' inscribed in white letters \5/16\ inch (1.79 cm) 
high. The woodland subdued tab is identical, except the background is 
olive drab and the word ``SAPPER'' is in black letters and the desert 
subdued tab has a khaki background with the word ``SAPPER'' in spice 
brown letters.



Sec. 578.101  Physical Fitness Badge.

    (a) The Physical Fitness Badge was established by the Secretary of 
the Army on June 25, 1986. Effective February 1, 1999, soldiers who 
obtain a minimum score of 270 or above, with a minimum of 90 points per 
event on the Army Physical Fitness Test (APFT) and meet the body fat 
standards will be awarded the Physical Fitness Badge for Physical 
Fitness Excellence. Soldiers are required to meet the above criteria 
each record test to continue to wear the badge. Units can obtain APFT 
Standards and the new APFT Card (DA Form 705, dated June 1998) off the 
World Wide Web at http:/www.benning.army.mil/usapfs/. Permanent Orders 
are not required for award of the Physical Fitness Badge.
    (b) Description. On a dark blue disc 1\5/8\ inches (4.13 cm) in 
diameter edged dark blue; a yellow stylized human figure with arms 
outstretched in front of a representation of the coat of arms of the 
United States displaying six stars (three on each side of the figure and 
thirteen alternating white and red stripes, all encircled by a Brittany 
blue designation band inscribed ``PHYSICAL FITNESS'' at top and 
``EXCELLENCE'' below separated on either side by a star, all navy blue; 
edged with a \1/8\

[[Page 450]]

inch (.32 cm) navy blue border. Overall diameter is 2\5/8\ inches (6.67 
cm).



Sec. 578.102  U.S. Civilian Marksmanship Program.

    The Civilian Marksmanship Program (CMP) was created by the U.S. 
Congress. The original purpose was to provide civilians an opportunity 
to learn and practice marksmanship skills so they would be skilled 
marksmen if later called on to service the U.S. military. Over the years 
the emphasis of the program shifted to focus on youth development 
through marksmanship. From 1916 to 1996 the CMP was administered by the 
U.S. Army. The National Defense Authorization Act for Fiscal Year 1996 
(Title 10) created the Corporation for the (CPRPFS) Promotion of Rifle 
Practice and Firearms Safety, Inc. to take over administration and 
promotion of the CMP. The CPRPFS is a tax exempt not-for-profit 
501(c)(3) organization that derives its mission from public law. The 
address for the CMP headquarters is PO Box 576, Port Clinton, Ohio, 
43452.



Sec. 578.103  President's Hundred Tab.

    (a) The President's Hundred Tab is awarded to soldiers who qualify 
among the top scoring 100 competitors in the President's Match.
    (b) Background. (1) The National Rifle Association's (NRA) 
President's Match was instituted at the NRA matches of 1878, as the 
American Military Rifle Championship Match. It was patterned after an 
event for British Volunteers called the Queen's Match, which the NRA of 
Great Britain had initiated in 1860. In 1884, the name was changed to 
the President's Match for the Military Rifle Championship of the United 
States. It was fired at Creedmor, New York until 1891. In 1895, it was 
reintroduced at Sea Girt, New Jersey.
    (2) The tradition of making a letter from the President of the 
United States the first prize began in 1904 when President Theodore 
Roosevelt, at the conclusion of the President's Match, personally wrote 
a letter of congratulations to the winner, Private Howard Gensch of the 
1st Regiment of Infantry of the New Jersey National Guard.
    (3) It cannot be ascertained as to when the President's Match was 
discontinued; however, it is known that it was not fired during World 
Wars I and II. It appears to have disappeared during the 1930s and 
during the depression when lack of funds severely curtailed the holding 
of matches of importance.
    (4) The President's Match was reinstated in 1957 at the National 
Matches as ``The President's Hundred.'' The top-scoring 100 competitors 
in the President's Match were singled out for special recognition in a 
retreat ceremony in which they passed in review before the winner and 
former winners of this historic match.
    (5) On May 27, 1958, the NRA requested the Deputy Chief of Staff, G-
1 approval of a tab for presentation to each member of the ``President's 
Hundred.'' The NRA's plan was to award the cloth tab together with a 
metal tab during the 1958 National Matches. The cloth tab was of high 
level interest and approved for wear on the Army uniform on March 3, 
1958. The first awards were made at Camp Perry, Ohio, in early September 
1958. The metal tab was never officially authorized for wear on the 
uniform by military personnel. However, the NRA issued the metal tab to 
military personnel for wear on the shooting jacket.
    (c) Description. A full-color embroidered tab of yellow 4\1/4\ 
inches (10.80 cm) in length and \5/8\ inch (1.59 cm) in height, with the 
words ``President's Hundred'' centered in \1/4\ inch (.64 cm) high green 
letters.



Sec. 578.104  Identification Badges.

    (a) Intent. Identification Badges are authorized to be worn as 
public evidence of deserved honor and distinction to denote service 
performed in specified assignments in the White House, in the Office of 
the Secretary of Defense; in the Organization of the Joint Chiefs of 
Staff, in the Office of the Secretary of the Army or as members of the 
General Staff; as members of the Guard, Tomb of the Unknown Soldier; as 
a Drill Sergeant; as a U.S. Army Recruiter, as an Army National Guard 
Recruiter, as a U.S. Army Reserve Recruiter; or as a Career Counselor.

[[Page 451]]

    (b) It should be noted that some of the identification badges are 
not Department of the Army badges. Criteria and eligibility is subject 
to change and individuals are advised to contact the badge proponent for 
additional information and guidance.
    (c) Eligibility requirements for the Identification Badges are 
provided in Sec. Sec. 578.105 through 578.116.



Sec. 578.105  Presidential Service Badge and Certificate.

    (a) The Presidential Service Badge and the Presidential Service 
Certificate were established by Executive Order 11174, September 1, 1964 
as amended by Executive Order 11407, April 23, 1968; Executive Order 
11520, March 25, 1970; and Executive Order 12793, March 20, 1992. This 
award replaced the White House Service Badge and Certificate established 
by Executive Order 10879, June 1, 1960.
    (b) The certificate is awarded, in the name of the President by the 
Secretary of the Army, to members of the Army who have been assigned to 
the White House Office; to military units and support facilities under 
the administration of the White House Military Office or to other direct 
support positions with the Executive Office of the President (EOP). The 
certificate will not be issued to any member who is issued a Vice 
Presidential Certificate or similar EOP Certificate, for the same period 
of service. Such assignment must be for a period of at least one year, 
subsequent to January 21, 1989.
    (c) The badge is awarded to those members of the Armed Forces who 
have been granted the Certificate and is awarded in the same manner in 
which the certificate is given. Once the badge is awarded, it may be 
worn as a permanent part of the uniform.
    (d) Only one certificate will be awarded to an individual during an 
administration. Only one badge will be awarded to an individual 
regardless of the number of certificates received.
    (e) The Presidential Service Badge and Certificate may be awarded 
posthumously.



Sec. 578.106  Vice Presidential Service Badge and Certificate.

    (a) The Vice Presidential Service Badge was established by Executive 
Order 11926, July 19, 1976.
    (b) The badge is awarded upon recommendation of the Military 
Assistant to the Vice President, by the Secretary of the Army to U.S. 
Army personnel who have been assigned to duty in the Office of the Vice 
President for at least 1 year after December 19, 1974.
    (c) The badge shall be accompanied by a certificate, which is 
awarded in the same manner in which the badge is given. Once the badge 
is awarded it may be worn as a permanent part of the uniform.
    (d) Only one badge will be awarded to an individual during an 
administration. Only one badge will be awarded to an individual 
regardless of the number of certificates received.
    (e) The Vice Presidential Service Badge and Certificate may be 
awarded posthumously.



Sec. 578.107  Office of the Secretary of Defense Identification Badge.

    (a) The Office of the Secretary of Defense Identification Badge is 
authorized under 10 U.S.C., to provide a distinct identification of 
military staff members while assigned and, after reassignment, to 
indicate that the service member satisfactorily served on the Secretary 
of Defense's staff. The prescribing directive for this badge is DOD 
1348.33-M, Manual of Military Decorations and Awards.
    (b) Description. The badge, 2 inches in diameter, consists of an 
eagle with wings displayed horizontally grasping three crossed arrows 
all gold bearing on its breast a shield paleways of thirteen pieces 
argent and gules a chief azure, a gold annulet passing behind the wing 
tips bearing thirteen gold stars above the eagle and a wreath of laurel 
and olive in green enamel below the eagle, the whole superimposed on a 
silver sunburst of 33 rays.



Sec. 578.108  Joint Chiefs of Staff Identification Badge.

    (a) A certificate of eligibility may be issued to military personnel 
who have been assigned to duty and have served not less than 1 year 
after January 14,

[[Page 452]]

1961 in a position of responsibility under the direct cognizance of the 
Joint Chiefs of Staff. The individual must have served in a position 
which requires as a primary duty the creation, development, or 
coordination of policies, principles, or concepts pertaining to a 
primary function of the organization of the Joint Chiefs of Staff and 
must be approved for authorization to wear the badge by the Chairman, 
Joint Chiefs of Staff; the Director, Joint Staff; the head of a 
Directorate of the Joint Staff; or one of the subordinate agencies of 
the organization of the Joint Chiefs of Staff. The certificate of 
eligibility constitutes authority for wearing the badge as a permanent 
part of the uniform.
    (b) Description. Within an oral silver metal wreath of laurel, 2\1/
4\ inches in height and 2 inches in width overall, the shield on the 
United States (the chief in blue enamel and the 13 stripes alternating 
white and red enamel) superimposed on four gold metal unsheathed swords, 
two in pale and two in saltire with points to chief, the points and 
pommels resting on the wreath, the blades and grips entwined with a gold 
metal continuous scroll surrounding the shield with the word JOINT at 
the top and the words CHIEFS OF STAFF at the bottom, all in blue enamel 
letters.



Sec. 578.109  Army Staff Identification Badge.

    (a) The Army Staff Identification Badge (ASIB) and Army Staff Lapel 
Pin (ASLP) are neither awards nor decorations but are distinguished 
marks of service at HQDA. They are visible signs of professional growth 
associated with the important duties and responsibilities of the Army 
Secretariat and the Army Staff (ARSTAF). Issuance of the ASIB and the 
ASLP is not automatic, but is based on demonstrated outstanding 
performance of duty and approval by a principal HQDA official. 
Eligibility for the ASIB does not constitute eligibility for the ASLP; 
likewise, eligibility for the ASLP does not constitute eligibility for 
the ASIB.
    (b) Description. The Coat of Arms of the United States in gold with 
the stripes of the shield to be enameled white and red and chief of the 
shield and the sky of the glory to be enameled blue, superimposed on a 
five-pointed black enameled star; in each reentrant angle of the star 
are three green enameled laurel leaves. The star is 3 inches in diameter 
for the Chief of Staff and former Chiefs of Staff and a 2 inches in 
diameter badge is authorized for all other personnel awarded the badge.



Sec. 578.110  Guard, Tomb of the Unknown Soldier Identification Badge.

    (a) Wear. (1) The Guard, Tomb of the Unknown Soldier Identification 
Badge will be authorized by the Commanding Officer, 3d U.S. Infantry 
Regiment (The Old Guard), for wear by each member of the Tomb of the 
Unknown Soldier who have met all specified criteria for earning the 
badge. Only soldiers serving in the following positions are authorized 
to earn the badge:
    (i) Commander of the Guard (Platoon Leader).
    (ii) Sergeant of the Guard (Platoon Sergeant).
    (iii) Commander of the Relief.
    (iv) Sentinels.
    (2) Effective December 17, 1963 the Commanding Officer, 3d U.S. 
Infantry Regiment (The Old Guard), may authorize the wearing of the 
badge as a permanent part of the uniform for personnel who:
    (i) Have served honorably for a minimum of 9 months, which need not 
be continuous, as a member of the Tomb of the Unknown Soldier.
    (ii) Have met all specified criteria for earning the badge.
    (iii) Have been recommended by the Commanding Officer, E Company, 3d 
Infantry Regiment (The Old Guard).
    (3) If soldiers who have served honorable meet all specified 
criteria for earning the badge prior to serving 9 total months as a 
member of the Tomb of the Unknown Soldier and are recommended by the 
Commanding Officer, E Company (Honor Guard), 3d U.S. Infantry Regiment 
(The Old Guard), temporary wear of the badge may be authorized by the 
Commanding Officer, 3d U.S. Infantry Regiment (The Old Guard).
    (4) Soldiers who are moved from authorized positions prior to 
completion of 9 total months may be considered for permanent award on a 
case-by-case

[[Page 453]]

basis by the Commanding Officer, 3d U.S. Infantry Regiment (The Old 
Guard).
    (b) Authorization. (1) Authorization of the badge as a uniform item 
will be made by order of the 3d U.S. Infantry Regiment Commander citing 
this paragraph as authority. This order will constitute authority for 
individuals to wear the badge as a part of their military uniform. 
Original issue of the badge will be made by the Commanding Officer of 
the 3d U.S. Infantry Regiment (The Old Guard). Replacements will be 
purchased from approved commercial sources to ensure the quality of the 
badge.
    (2) This award is retroactive to February 1, 1958 for personnel in 
the Active Army. This date reflects when the badge was first created and 
recognized by the Army for official wear. Former soldiers may apply to 
Commander, 3d U.S. Infantry Regiment (The Old Guard), Fort Myer, VA 
22211-5020.
    (c) Revocation. (1) When the Commander of The Old Guard becomes 
aware of information about a current or former member of the Tomb of the 
Unknown Soldier who was authorized permanent wear of the Tomb 
Identification Badge that suggests inappropriate conduct, including, but 
not limited to, acts of commission or omission for a member of that 
unit, or the intention to engage in inappropriate conduct, he will 
notify the Commander, E Company (Honor Guard), 3d U.S. Infantry Regiment 
(The Old Guard). The Commander, E Company (Honor Guard) will conduct a 
Commander's Inquiry to determine if the matter warrants further 
investigation, or if there is sufficient information to recommend to the 
Commanding Officer, 3d U.S. Infantry Regiment (The Old Guard) that the 
Tomb Identification Badge be revoked or that the soldier be reassigned, 
or both.
    (2) Nothing stated in this section prevents the Regimental Commander 
from taking peremptory action deemed necessary or appropriate to protect 
the interests of the U.S. Army, the 3d U.S. Infantry Regiment (The Old 
Guard), or the soldiers under his command. Authority to revoke the badge 
remains with Commanding Officer, 3d U.S. Infantry Regiment (The Old 
Guard). Revocation will be announced in permanent orders.
    (d) Reinstatement. Requests to have the badge reinstated will be 
directed to the current Commanding Officer, Headquarters, 3d U.S. 
Infantry Regiment (The Old Guard), Fort Myer, VA 22211-1199. Requests 
will be reviewed upon receipt of all information and forwarded to the 
reinstatement authority with a recommendation. Approval authority for 
reinstatement of the badge is the Commander, USA HRC (see Sec. 578.3(c) 
for address).
    (e) Description. A silver color metal badge 2 inches in width and 
1\15/32\ inches in height, consisting of an inverted open laurel wreath 
surmounted by a representation of the front elevation of the Tomb of the 
Unknown Soldier, the upper section containing the three figures of 
Peace, Victory, and Valor, the base bearing in two lines the words 
``HONOR GUARD'', all in low relief.



Sec. 578.111  Army ROTC Nurse Cadet Program Identification Badge.

    This badge is authorized for issue to and wear by contracted ROTC 
cadets enrolled in a program leading to a baccalaureate degree in 
nursing. It was formerly referred to as the Army Student Nurse Program 
Identification Badge.



Sec. 578.112  Drill Sergeant Identification Badge.

    (a) Eligibility. Successful completion of the Drill Sergeant course 
and assignment as a drill sergeant to a training command.
    (b) Authorization. The Commandant of the Drill Sergeant School will 
authorize the permanent wear of the badge to eligible personnel by 
memorandum. Officers are authorized to wear this badge if it was 
permanently awarded to them while in an enlisted status.
    (c) Description--(1) Metal. A gold plated metal and enamel insignia, 
2 inches (5.08 cm) in width and 1\51/64\ inches (4.56 cm) in height, 
consisting of a flaming torch above a breast plate and jupon in front of 
a rattlesnake on a green background, grasping in its mouth at upper 
right and with its tail at upper left, the ends of an encircling scroll 
inscribed

[[Page 454]]

``THIS WE'LL DEFEND'' in black letters, between 13 black star, 7 on the 
left and 6 on the right.
    (2) Embroidered. An embroidered insignia, as described above in 
subdued colors, except the size is 2\3/4\ inches (6.99 cm) in width and 
2\1/2\ inches (6.35 cm) in height. The insignia is on a olive drab 
square background measuring 3\1/2\ inches (8.89 cm) in width and height.



Sec. 578.113  U.S. Army Recruiter Identification Badge.

    (a) The U.S. Army Basic Recruiter Badge is authorized for wear by 
military personnel assigned or attached to the U.S. Army Recruiting 
Command (USAREC) as designated by the CG, USAREC. One, two, or three 
gold achievement stars may be awarded to eligible personnel meeting the 
criteria established for each achievement star by the CG, USAREC. These 
stars will be affixed to the basic badge.
    (b) The U.S. Army Gold Recruiter Badge is authorized for wear by 
eligible personnel meeting the criteria established by the CG, USAREC. 
One, two, or three sapphire achievement stars may be awarded to eligible 
personnel meeting the criteria established for each achievement star by 
the CG, USAREC. These stars will be affixed to the gold badge.
    (c) Description. A silver or gold color metal device 2\1/8\ inches 
(5.4 cm) in height overall consisting of a circular band inscribed, 
between two narrow green enamel borders, with the words ``U.S. ARMY'' on 
the left and ``RECRUITER'' on the right, in silver letters, reading 
clockwise and at bottom center three five-pointed stars; perched upon 
the inside edge of the band at bottom center an eagle looking to its 
right its wings raised vertically and extended over the top of the band 
and supported between its wings diagonally from lower left to upper 
right a flaming torch with both ends extended outside the band.



Sec. 578.114  Career Counselor Badge.

    (a) The Career Counselor Badge may be authorized for wear by 
enlisted personnel assigned to authorized duty positions which requires 
Primary Military Occupational Specialty (PMOS) 79S (Career Counselor). 
The award is retroactive to January 1, 1972.
    (b) Description. An oxidized silver badge 1\7/8\ inches in height 
overall consisting of an eagle with raised and outstretched wings 
standing upon, at the point of the intersection, the shaft of a spear to 
the left and the barrel of a musket with fixed bayonet to the right, 
weapons terminated just below the point of crossing, and all enclosed by 
a horizontal oval-shaped frame, its lower half consisting of a scroll 
inscribed with the words ``CAREER COUNSELOR'' in raised letters, the 
upper half composed of two olive branches issuing from the ends of the 
scroll at either side and passing behind the eagle's wing tips, meeting 
at top center; all areas between the eagle, spear and musket and the 
frame are pierced.



Sec. 578.115  Army National Guard Recruiting and Retention Identification 
Badges.

    The National Guard Bureau (NGB-ARP) is the proponent agency for the 
Army National Guard Recruiting and Retention Identification Badges. 
There are three degrees of badges that may be awarded; basic, senior, 
and master ARNG Recruiter Badges. See National Guard Regulation 672-2.



Sec. 578.116  U.S. Army Reserve Recruiter Identification Badge.

    The U.S. Army Reserve Recruiter Badge no longer exists as a separate 
identification badge. All Regular Army and Reserve Component recruiters 
only wear the U.S. Army Recruiter Identification Badges authorized in 
Sec. 578.109 of this part.



Sec. 578.117  Foreign and International Decorations and Awards to U.S. 
Army Personnel--General.

    (a) Guidelines. The provisions for receipt and acceptance, or 
prohibition thereof, of foreign decorations and badges outlined in this 
chapter apply to--
    (1) Active Army, Army National Guard, and U.S. Army Reserve soldiers 
to include retirees regardless of duty status.

[[Page 455]]

    (2) All civilian employees of DA including experts and consultants 
under contract to DA.
    (3) All spouses, unless legally separated and family members of the 
personnel listed in paragraphs (a)(1) and (2) of this section.
    (b) The provisions for receipt and acceptance, or prohibition 
thereof, of foreign decorations and badges outlined in this chapter do 
not apply when:
    (1) A foreign decoration is awarded posthumously. Such decorations 
and accompanying documents will be forwarded to Commander, USA HRC, (see 
Sec. 578.3(c) for address), for delivery to next of kin.
    (2) The recipient of a decoration dies before approval of acceptance 
can be obtained.
    (3) A foreign decoration was awarded for service while the recipient 
was a bona fide member of the Armed Forces of a friendly foreign nation, 
provided the decoration was made prior to employment of the recipient by 
the U.S. Government.
    (4) A decoration for service in the Republic of Vietnam was accepted 
on or after March 1, 1961, but not later than March 28, 1973.
    (c) Restriction. No person will request, solicit, or otherwise 
encourage the tender of a foreign decoration. Whenever possible, 
personnel are obligated to initially refuse acceptance of foreign 
decorations.
    (d) Constitutional restriction. No person holding any office of 
profit or trust under the United States will, without the consent of the 
Congress, accept any present, emolument, office, or title of any kind 
whatsoever from any king, prince, or foreign state. (Constitution, 
Article. I, section. 9) This includes decorations and awards tendered by 
any official of a foreign government.
    (e) Congressional authorization. 5 U.S.C. 7342 authorizes members of 
the Army to accept, retain, and wear foreign decorations tendered in 
recognition of active field service in time of combat operations or 
awarded for other outstanding or unusually meritorious performance, 
subject to the approval of the Secretary of the Army.
    (f) Participation in ceremonies. Subject to the restriction in, an 
individual may participate in a ceremony and receive the tender of a 
foreign decoration. The receipt of the decoration will not constitute 
acceptance of the award by the recipient.
    (g) Disciplinary action. The wearing of unauthorized awards, 
decorations, or other devices is a violation of the Uniform Code of 
Military Justice and may subject a soldier to appropriate disciplinary 
action.



Sec. 578.118  Individual foreign decorations.

    Decorations received which have been tendered in recognition of 
active field service in connection with combat operations or which have 
been awarded for outstanding or unusually meritorious performance may be 
accepted and worn upon receiving the approval of HQ, USA HRC. In the 
absence of such approval, the decoration will become the property of the 
United States and will be deposited with HQ, USA HRC, for use or 
disposal.



Sec. 578.119  Foreign unit decorations.

    (a) During the period of military operations against an armed enemy 
and for 1 year thereafter; or while engaged in military operations 
involving conflict with an opposing foreign force; or while serving with 
friendly foreign forces engaged in an armed conflict against an opposing 
armed force in which the United States is not a belligerent party, Army 
Component commanders, or major Army commanders are authorized to accept 
foreign unit decorations tendered to brigades, battalions, or smaller 
units under their command. HQ, USA HRC (AHRC-PDO-PA) will take final 
action on all tenders of foreign unit decorations to headquarters and 
headquarters companies of divisions and higher or comparable units. This 
authority will not be further delegated. Acceptance of foreign unit 
decorations will be reported to the CG, USA HRC for confirmation in 
DAGO. Confirmed foreign unit decorations are listed in DA Pamphlet 672-1 
and DA Pamphlet 672-3.
    (b) Foreign unit decorations may be accepted only if all the 
following conditions are met:
    (1) The decoration is tendered by a friendly foreign nation for 
heroism or

[[Page 456]]

exceptionally meritorious service in direct support of military 
operations;
    (2) The decoration is one that is conferred by the national 
government of the foreign country upon units of its own Armed Forces; 
and
    (3) The unit is cited by name in orders of the national government 
of the foreign country.
    (c) Foreign unit decorations will be neither recommended by nor 
sought by the Department of the Army. Solicitation of foreign unit 
decorations by individuals or units within the Army is prohibited. 
Acceptance of foreign unit decorations will be approved by CG, USA HRC, 
only when the award is proffered by the foreign government based on 
services performed and without solicitation.
    (d) Display of foreign unit decorations. Awards of foreign unit 
decorations are evidenced by streamers, fourrageres, or lanyards 
attached to the pike or lance as a component part of organizational 
colors, distinguishing flags or guidons.
    (e) The streamer will be of colors corresponding to the ribbon of 
the unit decoration with the name of the action or the area of 
operations embroidered thereon. A separate streamer will be furnished 
for each award. The medal will be attached only on ceremonial occasions.
    (f) Additional foreign unit decorations which have been tendered and 
accepted but for which no streamer is authorized for unit colors and 
guidons are as follows:
    (1) Citation in the Order of the Day of the Belgian Army;
    (2) State of Vietnam Ribbon of Friendship;
    (3) Netherlands Orange Lanyard;
    (g) Emblems. (1) Normally when a unit is cited, only the 
organizational color, distinguishing flag, or guidon is decorated. 
Unless specifically authorized by orders of the foreign government and 
approved by CG, USA HRC, no emblem is issued but may be purchased for 
wear on the uniform. See AR 670-1 for information on wear of foreign 
unit awards.
    (2) The only emblems so far authorized for wear on the uniform to 
indicate a foreign decoration received by a unit are the French and 
Belgian Fourrageres, the Netherlands Orange Lanyard, the Philippine 
Republic Presidential Unit Citation Badge, the Republic of Korea 
Presidential Unit Citation Badge, the Vietnam Presidential Unit Citation 
Badge, the Republic of Vietnam Gallantry Cross Unit Citation Badge, and 
the Republic of Vietnam Civil Actions Medal Unit Citation Badges. Only 
the French Fourragere is authorized for temporary wear.
    (3) The following emblems are not sold by the Department of the 
Army, but may be purchased if desired from civilian dealers in military 
insignia and some Army Exchanges: Philippine Republic, Republic of 
Korea, and the Vietnam Presidential Unit Citations, the Republic of 
Vietnam Gallantry Cross, and the Republic of Vietnam Civil Actions 
Medal.



Sec. 578.120  Foreign badges.

    (a) Eligibility requirements. Qualification and special skill badges 
may be accepted if awarded in recognition of meeting the criteria, as 
established by the foreign government concerned, for the specific award. 
Only those badges that are awarded in recognition of military activities 
and by the military department of the host country are authorized for 
acceptance and permanent wear. Badges that do not meet these criteria 
may be authorized for acceptance but not for wear, and will not be 
entered in the official military records of the recipient. Of particular 
importance are the criteria established by the military department of 
the host country; for example, if a particular badge is authorized for 
award only to enlisted personnel of host country then badge may be 
accepted and worn by U.S. Army enlisted personnel.
    (b) Awarding authority. Commanders (overseas and CONUS) serving in 
the rank of brigadier general or higher and colonel level commanders who 
exercise general court-martial authority are delegated authority to 
approve the acceptance, retention, and permanent wear of foreign badges. 
This authority may be further delegated to commanders charged with 
custody of military personnel record files. The burden of proof rests on 
the individual soldier to produce valid justification, that is,

[[Page 457]]

orders, citations, or other original copies of the foreign elements that 
awarded them the badge. A list of approved badges are provided in 
Appendix D, AR 600-8-22 and the Army Awards Branch Web site: https://
www.perscomonline.army.mil/tagd/awards/Appendix--D.doc. Request for 
accept and wear of any foreign badges not listed in Appendix D or the 
website will be forwarded to HQ, USA HRC (see Sec. 578.3(c) for 
address).
    (c) Other badges. Badges presented to Army personnel which do not 
fall under the category of qualification or special skill badges 
discussed in paragraph (a) of this section (honorary badges, 
identification devices, insignia) will be reported in accordance with AR 
1-100, paragraph 6. Badges in these categories are considered gifts. 
They will not be authorized for wear nor entered in official military 
personnel records.
    (d) Wear. AR 670-1 governs the manner of wear of foreign 
qualification and special skill badges.



Sec. 578.121  United Nations Service Medal.

    (a) The United National Service Medal (UNSM) was established by 
United Nations General Assembly Resolution 483(V), December 12, 1950. 
Presidential acceptance for the United States Armed Forces was announced 
by the DOD on November 27, 1951.
    (b) Qualifications. To qualify for award of the UNSM, individuals 
must meet one of the following:
    (1) Members of the Armed Forces of the United States dispatched to 
Korea or adjacent areas for service on behalf of the United Nations in 
the action in Korea.
    (2) Other personnel dispatched to Korea or adjacent areas as members 
of paramilitary and quasi-military units designated by the U.S. 
Government for service in support of United Nations action in Korea and 
certified by the United Nations Commander in Chief as having directly 
supported military operations there.
    (3) Personnel awarded the Korean Service Medal automatically 
establish eligibility for the United Nations Service Medal.
    (4) Service with a national contingent designated by the U.S. 
Government for service in support of the United Nations action in Korea 
and certified by the United Nations Commander in Chief as having 
directly supported military operations in Korea.
    (c) Service requirements. Service will be for periods provided 
between June 27, 1950 and July 27, 1954, inclusive, under either of the 
following conditions:
    (1) Within the territorial limits of Korea or the waters immediately 
adjacent thereto or in the air over Korea or over such waters.
    (2) The service prescribed must have been performed while serving 
with any unit as provided in paragraphs (b)(1) and (2) of this section 
as specified below:
    (i) While on an assignment to such unit for any period between the 
dates specified above.
    (ii) While attached to such a unit for a period of 30 days 
consecutive or nonconsecutive, between the dates specified above.
    (iii) While in active combat against the enemy under conditions 
other than those prescribed in paragraphs (b) and (c) of this section if 
a combat decoration has been awarded or an individual certificate 
testifying to such combat service has been furnished by the commander of 
an independent force or a division, ship, or air group, or comparable or 
higher unit.
    (d) Exclusions. No personnel of the United Nations or of its 
specialized agencies or of any national government service other than as 
prescribed above and no International Red Cross personnel engaged for 
service under the United Nations Commander in Chief with any United 
Nations relief team in Korea will be eligible for award of the medal.



Sec. 578.122  Inter-American Defense Board Medal.

    (a) The Inter-American Defense Board Medal was established by the 
Ninety-first Session of the Inter-American Defense Board on December 11, 
1945 and authorized by Executive Order 11446, January 18, 1969.
    (b) U.S. military personnel who have served on the Inter-American 
Defense Board for at least 1 year as chairman of the board, delegates, 
advisers, officers

[[Page 458]]

of the staff, officers of the secretariat, or officers of the Inter-
American Defense College may wear the Inter-American Defense Board 
ribbon permanently.
    (c) U.S. military personnel who have been awarded the Inter-American 
Defense Board Medal and ribbon may wear them when attending meetings, 
ceremonies, or other functions where Latin American members of the Board 
are present.



Sec. 578.123  Philippine Defense Ribbon.

    The Philippine Defense Ribbon is awarded for service in the defense 
of the Philippines from December 8, 1941 to June 15, 1942, under either 
of the following conditions:
    (a) Participation in any engagement against the enemy in Philippine 
territory, in Philippine waters, or in the air over the Philippines or 
over Philippine waters. An individual will be considered as having 
participated in an engagement if they meet one of the following:
    (1) Was a member of the defense garrison of the Bataan Peninsula or 
of the fortified islands at the entrance to Manila Bay.
    (2) Was a member of and present with a unit actually under enemy 
fire or air attack.
    (3) Served on a ship that was under enemy fire or air attack.
    (4) Was a crewmember or passenger in an airplane that was under 
enemy aerial or ground fire.
    (b) Assigned or stationed in Philippine territory or in Philippine 
waters for not less than 30 days during the period.
    (c) Individuals who meet conditions set forth in paragraphs (a) and 
(b) of this section are authorized to wear a bronze service star on the 
ribbon.



Sec. 578.124  Philippine Liberation Ribbon.

    (a) The Philippine Liberation Ribbon is authorized by DA Circular 
59, March 8, 1948.
    (b) It is awarded for service in the liberation of the Philippines 
from October 17, 1944 to September 3, 1945, under any of the following 
conditions:
    (1) Participated in the initial landing operations on Leyte or 
adjoining islands from October 17, 1944 to October 20, 1944. An 
individual will be considered as having participated in such operations 
if he landed on Leyte or adjoining islands, was on a ship in Philippine 
waters, or was a crewmember of an airplane, which flew over Philippine 
territory during the period.
    (2) Participated in any engagement against the enemy during the 
campaign on Leyte and adjoining islands. An individual will be 
considered as having participated in combat if he meets any of the 
conditions set forth in Philippine Defense Ribbon Sec. 578.123(a)(2) 
through (4).
    (3) Participated in any engagement against the enemy on islands 
other than those included in paragraph (b)(2) of this section. An 
individual will be considered as having participated in combat if he or 
she meets any of the conditions set forth in Philippine Defense Ribbon 
Sec. 578.123(a)(2) through (4).
    (4) Served in the Philippine Islands or on ships in Philippine 
waters for not less than 30 days during the period.
    (c) Bronze service stars. An individual who meets more than one of 
the conditions set forth in paragraph (a) of this section is authorized 
to wear a bronze service star on the ribbon for each additional 
condition under which he or she qualifies other than that under which he 
or she is eligible for the initial award of the ribbon.



Sec. 578.125  Philippine Independence Ribbon.

    The Philippine Independence Ribbon is authorized by DA Circular 59, 
1948. Any recipient of both the Philippine Defense and Philippine 
Liberation ribbons is eligible for award of the Philippine Independence 
Ribbon. United States Army personnel authorized to wear the Philippine 
Independence Ribbon under the established criteria, may continue to wear 
the ribbon, provided the authority for such wear was recorded before 
November 24, 1954.



Sec. 578.126  United Nations Medal.

    (a) Authorized by the Secretary General of the United Nations and 
Executive Order 11139, January 7, 1964. U.S. service members who are or 
have been in the service of the United Nations in operations designated 
by the Secretary

[[Page 459]]

of Defense may accept the United Nations Medal (UNM) when awarded by the 
Chief of the United Nations Mission.
    (b) Eligibility. The eligibility criteria for award of the UNM 
requires that an individual serve under the operational or tactical 
control of the United Nations and serve a minimum of 90 consecutive days 
in the service of the United Nations. The following United Nations 
missions/operations have been approved for acceptance and wear:
    (1) United Nations Observation Group in Lebanon (UNOGIL);
    (2) United Nations Truce Supervision Organization in Palestine 
(UNTSO);
    (3) United Nations Military Observer Group in India and Pakistan 
(UNMOGIP);
    (4) United Nations Security Forces, Hollandia (UNSFH);
    (5) United Nations Transitional Authority in Cambodia (UNTAC);
    (6) United Nations Advance Mission in Cambodia (UNAMIC);
    (7) United Nations Protection Force in Yugoslavia (UNPROFOR);
    (8) United Nations Mission for the Referendum in Western Sahara 
(MINURSO);
    (9) United Nations Iraq/Kuwait Observation Mission (UNIKOM);
    (10) United Nations Operations in Somalia (to include U.S. Quick 
Reaction Force members) (UNOSOM);
    (11) United Nations Mission in Haiti (UNMIH);
    (12) United Nations Medal Special Service (UNMSS).
    (c) Wear. Each United Nations mission for which an UNM is awarded is 
commemorated by a suspension and service ribbon of unique colors and 
design. The ribbon and medallion combination take on the name of the 
specific operation for which the combination was created. For example, 
the operation in the Former Republic of Yugoslavia is the United Nations 
Protection Force (UNPROFOR), yielding the UNPROFOR Medal. Service 
members who are awarded an UNM may wear the first UNM with unique 
suspension and service ribbon for which they qualify. A bronze service 
star will denote subsequent awards of the UNM for service in a different 
United Nations mission. Only one United Nations ribbon is authorized for 
wear.
    (d) Presentation. The Senior Representative of the Secretary-General 
who makes the award normally makes presentation of the UNM in the field. 
Approval authority to accept and wear the UNM to member of the Armed 
Forces of the United States is the Secretary of Defense. When 
presentation is not so accomplished, any person who believes he or she 
is eligible for award may submit to Commander, USA HRC, (see Sec. 
578.3(c) for address) and a request for such award with copy of any 
substantiating documents. Commander, AHRC will forward each such request 
through the Office of Internal Administration, Office of the Assistant 
Secretary of State for International Organization Affairs, to the United 
Nations for consideration.
    (e) Description--(1) Medal. The medal is bronze, 1\3/8\ inches in 
diameter, with a top view of the globe enclosed at sides and bottom by a 
wreath and the letters ``UN'' at the top of the medal. On the reverse 
side is the inscription ``IN THE SERVICE OF PEACE''. The United Nations 
Service Medal Korea is the same design, except the obverse does not 
include the letters ``UN'' and the medal has a hanger bar with the 
inscription ``KOREA''. On the reverse side of the United Nations Service 
Medal Korea is the inscription ``FOR SERVICE IN DEFENCE OF THE 
PRINCIPLES OF THE CHARTER OF THE UNITED NATIONS''.
    (2) Ribbon. Each United Nations mission for which a UNM is awarded 
is commemorated by a suspension and service ribbon of unique colors and 
design. The ribbon and medallion combination take on the name of the 
specific operation for which the combination was created. For example, 
the operation in the Former Republic of Yugoslavia is the United Nations 
Protection Force (UNPROFOR), yielding the UNPROFOR Medal. Service 
members who are awarded a UNM may wear the first UNM with unique 
suspension and service ribbon for which they qualify. A bronze service 
star will be worn to denote subsequent awards of the UNM for service in 
a different United Nations mission. Only one United Nations ribbon is 
authorized for wear.

[[Page 460]]



Sec. 578.127  North Atlantic Treaty Organization (NATO) Medal.

    (a) The North Atlantic Treaty Organization (NATO) Medal is awarded 
by the Secretary-General of the North Atlantic Treaty Organization to 
military and civilian members of the Armed Forces of the United States 
who participate in NATO operations related to the former Republic of 
Yugoslavia. The Secretary of Defense authorized acceptance of the NATO 
Medal on November 14, 1995.
    (b) Acceptance. Acceptance of the NATO Medal has been approved for 
U.S. military personnel who serve under NATO command or operational 
control in direct support of NATO operations in the former Republic of 
Yugoslavia, or as designated by the Supreme Allied Command, Europe 
(SACEUR), from July 1, 1992 to a date to be determined.
    (c) Presentation. The NATO Medal will normally be presented by the 
Allied Command Europe headquarters exercising operational command or 
control over U.S. military units or individuals prior to their departure 
from service with NATO.
    (d) Medal set. The medal set includes a ribbon clasp denoting the 
specific operation for which the award was made. U.S. service members 
are authorized to retain the ribbon clasp presented but may not wear the 
clasp. Only the basic medal and service ribbon are authorized for wear 
on the uniform.
    (e) Subsequent awards. Subsequent awards (if approved by the 
Secretary of Defense) for service in a different NATO operation, U.S. 
military personnel will affix a bronze service star to the NATO Medal 
suspension ribbon and service ribbon.
    (f) Precedence. The NATO Medal shall have the same precedence as the 
United Nations Medal, but will rank immediately below the United Nations 
Medal when the wearer has been awarded both medals.
    (g) Description. The medal is bronze, 1\3/8\ inches in diameter, 
bearing on the obverse the NATO emblem (a four pointed star emitting a 
ray from each point superimposed on an annulet) enclosed in base by a 
wreath of olive. The reverse side has a band inscribed ``NORTH ATLANTIC 
TREATY ORGANIZATION'' at top and ``ORGANISATION DU TRAITE DE 
L'ATLANTIQUE NORD'' at the bottom. In the center is a sprig of olive 
between the inscription ``IN SERVICE OF PEACE AND FREEDOM'' above and 
``AU SERVICE DE LA PAIX ET DE LA LIBERTE'' below. The ribbon is 1\3/8\ 
inches wide and consists of the following stripes: \5/32\ inch Yale Blue 
67176; \1/8\ inch White 67101; \13/16\ inch Yale Blue; \1/8\ inch White; 
and \5/32\ inch Yale Blue.



Sec. 578.128  Multinational Force and Observers Medal.

    (a) The Multinational Force and Observers (MFO) Medal was 
established by the Director General, Multinational Force and Observers, 
March 24, 1982. Presidential acceptance for the United States Armed 
Forces and DOD civilian personnel is announced by DOD on July 28, 1982.
    (b) Eligibility. To qualify for the award personnel must have served 
with the MFO at least ninety (90) cumulative days after August 3, 1981. 
Effective March 15, 1985, personnel must serve 6 months (170 days 
minimum) with the MFO to qualify for the award. Periods of service on 
behalf of the MFO outside of the Sinai, and periods of leave while a 
member is serving with the MFO, may be counted toward eligibility for 
the MFO medal. Qualifying time may be lost for disciplinary reasons.
    (c) Awards. The Director General, MFO makes awards, or in his or her 
name by officials to whom he or she delegates awarding authority.
    (d) Presentation. Presentations are usually to be made by personnel 
designated by the Director General, MFO. When presentation is not 
accomplished, any person with MFO service who believes he or she is 
eligible for the award may submit a request for the award to Commander, 
USA HRC, (see Sec. 578.3(c) for address). This request must include 
complete details related to MFO duty, including geographical location 
and inclusive dates of service, and copies of all substantiating 
documents. Commanding General, USA HRC, will then forward each such 
request through the Office of Internal Administration, Office of the 
Assistant Secretary of State for International

[[Page 461]]

Organization Affairs, to the Multinational Force and Observers for 
consideration.
    (e) Subsequent awards. An appropriate numeral starting with numeral 
2 will indicate second and subsequent awards for each completed 6-month 
tour. If an individual has not completed a cumulative 6-month tour, he 
or she is not eligible for award of the MFO medal unless one of the 
following conditions exists:
    (1) The award is to be made posthumously.
    (2) The member is medically evacuated due to service-incurred 
injuries or serious illness.
    (3) The member is withdrawn at the request of the parent Government 
for national service reasons under honorable conditions.



Sec. 578.129  Republic of Vietnam Campaign Medal.

    (a) Criteria. The Republic of Vietnam Campaign Medal is awarded by 
the Government of the Republic of Vietnam to members of the United 
States Armed Forces and authorized by DOD 1348.33-M.
    (b) Requirements. To qualify for award personnel must meet one of 
the following requirements:
    (1) Have served in the Republic of Vietnam for 6 months during 
period specified in paragraph (c) of this section.
    (2) Have served outside the geographical limits of the Republic of 
Vietnam and contributed direct combat support to the Republic of Vietnam 
and Armed Forces for 6 months. Such individuals must meet the criteria 
established for the Armed Forces Expeditionary Medal (Vietnam) or the 
Vietnam Service Medal, during the period of service required to qualify 
for the Republic of Vietnam Campaign Medal.
    (3) Have served as in paragraph (b)(1) or (2) of this section for 
less than 6 months and have been one of the following:
    (i) Wounded by hostile forces.
    (ii) Captured by hostile forces, but later escaped, was rescued or 
released.
    (iii) Killed in action or otherwise in line of duty.
    (4) Personnel assigned in the Republic of Vietnam on January 28, 
1973 must meet one of the following:
    (i) Served a minimum of 60 days in the Republic of Vietnam as of 
that date.
    (ii) Completed a minimum of 60 days service in the Republic of 
Vietnam during the period from January 28, 1973 to March 28, 1973, 
inclusive.
    (c) Eligibility for award under authority of this paragraph is 
limited to the period from March 1, 1961 to March 2, 1973, inclusive. 
Eligibility for acceptance of this award solely by virtue of service 
performed prior to March 1, 1961 or subsequent to March 1973 is governed 
by AR 600-8-22, paragraph 9-8.
    (d) The Republic of Vietnam Campaign Medal with Device (1960) and 
the miniature medal are items of individual purchase.



Sec. 578.130  Kuwait Liberation Medal--Saudi Arabia.

    (a) The Kuwait Liberation Medal is awarded by the Government of 
Saudi Arabia to members of the Armed Forces of the United States and 
authorized by DOD on January 3, 1992.
    (b) It is awarded to members of the Armed Forces of the U.S. who 
participated in Operation DESERT STORM between January 17, 1991 and 
February 28, 1991 in one or more of the following areas: Persian Gulf; 
Red Sea; Gulf of Oman; that portion of the Arabian Sea that lies north 
of 10 degrees north latitude and west of 68 degrees east longitude; the 
Gulf of Aden; or the total land areas of Iraq, Kuwait, Saudi Arabia, 
Oman, Bahrain, Qatar, and the United Arab Emirates.
    (c) To be eligible personnel must meet one of the following 
qualifications:
    (1) Be attached to or regularly serving for one or more days with an 
organization participating in ground or shore operations.
    (2) Be attached to or regularly serving for one or more days aboard 
a naval vessel directly supporting military operations.
    (3) Actually participate as a crew member in one or more aerial 
flights supporting military operations in the areas designated above.

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    (4) Serve on temporary duty for 30 consecutive days during the 
period January 17, 1991 to February 28, 1991 under any of the criteria 
in paragraphs (b)(1) through (3) of this section. This time limit may be 
waived by HQ, USA HRC (AHRC-PDO-PA) for people participating in actual 
combat operations.
    (d) The eligibility period and geographic boundaries were specified 
by the Government of Saudi Arabia and may not be waived.
    (e) Posthumous award to the next of kin of any soldier who lost his 
or her life, while, or as a direct result of, participating in Operation 
DESERT STORM between January 17, 1991 and February 28, 1991, without 
regard to the length of such service, will be made by HQ, USA AHRC 
(AHRC-PDO-PA).
    (f) The Kuwait Liberation Medal, ribbon, and miniature medal are 
items of individual purchase. The Army accomplished an initial issue to 
eligible personnel from a one-time stock provided by the Government of 
Saudi Arabia in 1992.
    (g) Description. The medal is 1\25/32\ inches in width and is 
described as follows: On a gold sunburst with stylized silver rays, a 
glob depicting the Arabian Peninsula encircled by a wreath of palm 
between a scroll in the base inscribed ``Liberation of Kuwait'' and at 
the top a palm tree issuing from two diagonally crossed sabers, all 
gold. The ribbon is 1\3/8\ inches wide and consists of the following 
stripes: \5/32\ inch Old Glory Red 67156; \4/64\ inch black 67138; \9/
64\ inch white stripe 67101; center \5/8\ inch irish green 67189; \9/64\ 
inch white stripe 67101; \5/64\ inch black 67138; and \5/32\ inch Old 
Glory Red.



Sec. 578.131  Kuwait Liberation Medal--Kuwait.

    (a) The Kuwait Liberation Medal is awarded by the Government of 
Kuwait to members of the Armed Forces of the United States and 
authorized by the DOD on August 7, 1995.
    (b) It is awarded to members of the Armed Forces of the U.S. who 
served in support of Operations DESERT SHIELD and DESERT STORM between 
August 2, 1990 and August 31, 1993 in one or more of the following 
areas: the Arabian Gulf; the Red Sea; the Gulf of Oman; that portion of 
the Arabian Sea that lies north of 10 degrees north latitude and west of 
68 degrees east longitude; the Gulf of Aden; or the total land areas of 
Iraq, Kuwait, Saudi Arabia, Omar, Bahrain, Qatar, and the United Arab 
Emirates.
    (c) To be eligible, personnel must meet one of the following 
qualifications:
    (1) Be attached to or regularly serving for one or more days with an 
organization participating in ground and/or shore operations.
    (2) Be attached to or regularly serving for one or more days aboard 
a naval vessel directly supporting military operations.
    (3) Actually participate as a crew member in one or more aerial 
flights directly supporting military operations in the areas designated 
above.
    (4) Serve on temporary duty for 30 consecutive days or 60 
nonconsecutive days during the period August 2, 1990 to August 31, 1993 
under any of the criteria in paragraphs (c)(1) through (3) of this 
section. This time limit may be waived by HQ, USA HRC (AHRC-PDO-PA) for 
soldiers participating in actual combat operations.
    (d) The eligibility period and geographic boundaries were specified 
by the Government of Kuwait and may not be waived.
    (e) Posthumous award to the next of kin of any soldier who lost his 
life, while, or as direct result of participating in Operations DESERT 
SHIELD/STORM between August 2, 1990 and August 31, 1993, without regard 
to the length of such service, will be made by HQ, USA HRC (AHRC-PDO-
PA).
    (f) The Government of Kuwait provided a one-time stock of the Kuwait 
Liberation Medal for initial issue to eligible personnel.
    (g) Description. A bronze metal and enamel, 1\9/16\ inches in 
diameter suspended from a bar by a wreath. A obverse bears the Coat of 
Arms of the State of Kuwait. The Coat of Arms consists of the shield of 
the flag design in color superimposed on a falcon with wings displayed. 
The falcon supports a disk containing a sailing ship with the full name 
of the State written at the top of the disk. At the top of the medal is 
the inscription ``1991 Liberation Medal'' in Arabic letters. The reverse

[[Page 463]]

side is the map of Kuwait on a rayed background. The ribbon is the 
pattern of the flag of the State of Kuwait and consists of three equal 
stripes \29/64\ inch each of the following colors: old glory red (cable 
67156), white (cable 67101), and irish green (cable 67189). A black 
trapezium is at top of the ribbon drape and service ribbon.



Sec. 578.132  Republic of Korea War Service Medal.

    (a) The Republic of Korea War Service Medal (ROKWSM) was originally 
offered to the Armed Forces of the United States by the Ministry of 
Defense, Republic of Korea, on November 15, 1951. On 20 August 1999, the 
Assistant Secretary of Defense (Force Management & Policy) approved 
acceptance and wear of the medal for veterans of the Korean War.
    (b) Criteria. It is awarded to members of the U.S. Armed Forces who 
served in Korea and adjacent waters between June 25, 1950 and July 27, 
1953. The service prescribed must have been performed as follows:
    (1) While on permanent assignment; or
    (2) While on temporary duty within the territorial limits of Korea 
or on waters immediately adjacent thereto for 30 consecutive days or 60 
nonconsecutive days; or
    (3) While as crew members of aircraft, in aerial flight over Korea 
participating in actual combat operations or in support of combat 
operations.
    (c) Supply of the medal. The Air Force is the Executive Agency for 
the ROKWSM. Therefore, requests for award of the medal should be 
forwarded to the following address: HQ, Air Force Personnel Center, 
DPPPRK, 550 C Street W, Suite 12, Randolph AFB, TX 78150-4612.
    (d) Order of precedence. Order of precedence for non-U.S. service 
medals and ribbons is determined by date of approval. Accordingly, the 
ROKWSM will be worn after the Kuwait Liberation Medal--Government of 
Kuwait. For the majority of Korean War veterans, the medal will be worn 
after the United Nations Medal or the Republic of Vietnam Campaign 
Medal, if they served during the Vietnam Conflict era.
    (e) Description. A gold six pointed star with rays, 37mm in 
diameter, superimposed by a white enameled star, 42mm in diameter, 
overall in center a green disc, 18mm in diameter, with the outline of 
the Vietnamese country with a red flame of three rays between North and 
South Vietnam. On the reverse of the medal is a circle with a designated 
band containing the word ``CHIEN-DICH'' (Campaign) at the top and ``BOI-
THINH'' (Medal) at the bottom. Across the center of the circle is the 
word ``VIET-NAM''. The ribbon is 1\3/8\ inches wide and consists of the 
following stripes: \1/16\ inch gherkin green 67183; \3/16\ inch white 
67101; \5/16\ inch gherkin green 67183; \1/4\ inch white 67101; \5/16\ 
inch gherkin green 67183; \3/16\ inch white 67101; \1/16\ inch gherkin 
green 67183, and \3/16\ inch white 67101.



Sec. 578.133  Certificates for decorations.

    (a) Current issue. A certificate will be presented with each award 
of an authorized military decoration. In no case will a commander issue 
a certificate indicating award of a military decoration other than on 
the standard DA certificate for the awarded decoration. Awards 
certificates will be issued without reference to numbered oak leaf 
clusters.
    (b) Completion. Each certificate for award of the Legion of Merit 
(LM), Meritorious Service Medal (MSM), Army Commendation Medal (ARCOM) 
and Army Achievement Medal (AAM) will be completed by the awarding 
commander and will bear his or her personal signature in the lower right 
corner. The Permanent Orders number and date are typed on the line on 
the left side of the LM, MSM, ARCOM, and AAM certificates. The grade, 
name, and branch of service, together with the place and dates of the 
act, achievement, or service of the recipient, will be inserted on the 
certificate in the appropriate spaces.
    (c) Replacement of Award Certificates--(1) Veterans and retirees. 
Veterans and retirees awarded U.S. military decorations to whom an 
appropriate certificate has not been issued may apply for such 
certificate by writing to the appropriate office indicated in Sec. 
578.66.

[[Page 464]]

    (2) Active duty soldiers. Active duty soldiers may request 
replacement certificate through command channels to the headquarters 
currently having authority to award the decoration for which certificate 
is required. Each request should include a copy of the orders announcing 
the award. The replacement certificate will be annotated with the 
original order number (for example, Per Permanent Orders XX-XX, January 
1, 2000).



Sec. 578.134  Certificate of Achievement.

    (a) Commanders may recognize periods of faithful service, acts, or 
achievements which do not meet the standards required for decorations by 
issuing to individual U.S. military personnel a DA Form 2442 
(Certificate of Achievement) or a Certificate of Achievement of local 
design.
    (b) Certificates of Achievement will be issued under such 
regulations as the local commander may prescribe.
    (c) If a locally designed Certificate of Achievement is printed for 
use according to this regulation, it may bear reproductions of insignia. 
In the interest of economy, the use of color will be held to a minimum.
    (d) The citation on such certificates will not be worded so that the 
act of service performed appears to warrant the award of a decoration.
    (e) No distinguishing device is authorized for wear to indicate the 
receipt of a Certificate of Achievement.



Sec. 578.135  Certificate of appreciation to employers.

    (a) To improve employer acceptance of the concept of military leave 
for participation in Reserve Component training and to encourage 
employers to adopt liberal military leave policies, certificates of 
appreciation may be presented to employers who have wholeheartedly and 
consistently cooperated in granting military leave to employees.
    (b) The Commanding Generals, TRADOC, FORSCOM, State adjutants 
general, Army Reserve General Officer Commands, Corps, and the U.S. Army 
Military District of Washington are authorized to make this award.
    (c) Certificates will be presented by the awarding commander or by 
an authorized representative, as appropriate.



Sec. 578.136  Certificates for badges.

    Commanders authorized to award badges may issue, simultaneously, 
appropriate certificates of achievement to persons under their command 
who have qualified for the respective badges. The certificate also may 
bear a citation which will follow closely the prescribed eligibility 
requirements for the respective badge.



Sec. 578.137  Cold War Recognition Certificate.

    Public Law 105-85, Section 1084, established a Cold War Recognition 
Certificate to recognize all members of the Armed Forces and qualified 
Federal government civilian personnel who faithfully and honorably 
served the United States during the Cold War Era from September 2, 1945 
to December 26, 1991. The Cold War Recognition System homepage at 
https://www.perscomonline.army.mil/tagd/coldwar/default.htm announces 
the program and provides instructions for individual requests.



PART 581_PERSONNEL REVIEW BOARD--Table of Contents




Sec.
581.1 Army Disability Review Board.
581.2 Army Discharge Review Board.
581.3 Army Board for Correction of Military Records.

    Authority: 10 U.S.C. 1552, 1553, 1554, 3013, 3014, 3016; 38 U.S.C. 
3103(a).



Sec. 581.1  Army Disability Review Board.

    (a) General provisions--(1) Constitution, purpose, and jurisdiction 
of review board. (i) The Army Disability Review Board (called the review 
board in this section) is an administrative agency created within the 
Department of the Army under authority of section 302, title I, Act of 
June 22, 1944 (58 Stat. 284), as amended by section 4, Act of December 
28, 1945 (59 Stat. 623), to review, at the request of any officer 
retired or released from active service, without pay, for physical 
disability pursuant to the decision of a retiring board or disposition 
board, the findings

[[Page 465]]

and decisions of such board. The review board is charged with the duty, 
in cases within its jurisdiction, of ascertaining whether an applicant 
for review who was separated from the service or released to inactive 
service, without pay, for physical disability, incurred such physical 
disability in line of duty or as an incident of the service. When the 
review board determines in an individual case within its jurisdiction 
that physical disability was so incurred, it is authorized in the manner 
prescribed by this memorandum, to reverse prior findings in such regard 
and to make such findings in lieu thereof as are warranted by the 
evidence or pertinent regulations. Such remedial action is intended 
primarily to insure that no officer separated from the service or 
returned to an inactive status without pay, for disability, shall be 
deprived unjustly of retirement pay benefits, or retired status and 
retired pay, as the case may be, by reason of erroneous findings.
    (ii) The class of officers whose cases are reviewable shall include 
officers of the Army of the United States, other than officers of the 
Regular Army, who were discharged or released to inactive service under 
the conditions prescribed in paragraph (a)(1)(i) of this section; and 
former officers of the Regular Army who were wholly retired under 
section 1252, Revised Statutes.
    (iii) The review board is authorized, upon timely application 
therefor, to review the proceedings and findings of boards referred to 
in paragraph (a)(1)(i) of this section; and to receive additional 
evidence bearing on the causes and service-connection of disabilities in 
the cases of officers referred to in paragraph (a)(1)(ii) of this 
section, whose cases were the subject of findings by a retiring or 
disposition board, and who were separated from the service or released 
to inactive service, without pay, by reason of physical disability, 
whether denial of retirement or retirement pay benefits, as the case may 
be, was pursuant to the adverse findings of a board, or was pursuant to 
administrative action in a case where there was favorable action by a 
board.
    (iv) In carrying out its duties under this memorandum such review 
board shall have the same powers as exercised by, or vested in, the 
board whose findings and decisions are being reviewed.
    (2) Application for review. (i) Any officer desiring a review of his 
case will make a written application therefor on WD AGO Form 0258 
(Application for Review of Army Retiring Board Proceedings) which may be 
obtained from The Adjutant General, Washington, DC 20310, Attention: 
AGPO-S-D.
    (ii) No application for review will be granted unless received by 
the Department of the Army within 15 years after the date on which such 
officer was separated from the service or released to inactive service, 
without pay, for physical disability, or within 15 years after June 22, 
1944, whichever date is the later.
    (iii) The Adjutant General, upon receipt of an application for 
review, will note thereon the time of receipt thereof and will, in cases 
where the jurisdiction for review by the review board is established, 
assemble the originals or certified copies of all available Department 
of the Army and/or other record pertaining to the health and physical 
condition of the applicant, including the record of the proceedings and 
findings of all retiring and disposition boards in question and the 
records of all administration and/or executive action taken thereon. 
Such records, together with the application and any supporting documents 
submitted therewith, will be transmitted to the president of the review 
board.
    (3) Changes in procedure of review board. The review board may 
initiate recommendation for such changes in procedures as established 
herein as may be deemed necessary for the proper functioning of the 
review board. Such changes will be subject to the approval of the 
Secretary of the Army.
    (b) Proceedings of review board--(1) Convening of review board. (i) 
The review board will be convened at the call of its president and will 
recess or adjourn at his order. In the event of the absence or 
incapacity of the president, the next senior member will serve as acting 
president for all purposes.
    (ii) Unless otherwise directed by its president, the review board 
will convene in Washington, DC, at the time and place indicated by him.

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    (iii) The review board will assemble in open session for the 
consideration and determination of cases presented to it. After the 
conclusion of such hearing, the review board will as soon as practicable 
thereafter convene in closed session for determination.
    (2) Hearings. (i) An applicant for review, upon request, is entitled 
by law to appear before the review board in open session either in 
person or by counsel of his own selection. Witnesses shall be permitted 
to present testimony either in person or by affidavit. As used in the 
regulations in this part the term ``counsel'' shall be construed to 
include members of the Federal bar, the bar of any state, accredited 
representatives of veterans' organizations recognized by the Veterans' 
Administration under section 200 of the Act of June 29, 1936 (49 Stat. 
2031), and such other persons who, in the opinion of the review board, 
are considered to be competent to present equitably and comprehensively 
the claim of the applicant for review. In no case will the expenses or 
compensation of counsel for the applicant be paid by the Government.
    (ii) In every case in which a hearing is authorized, the secretary 
will transmit to the applicant and to designated counsel for the 
applicant, if any, a written notice by registered mail stating the time 
and place of hearing. Such notice shall be mailed at least 30 days in 
advance of the date on which the case is set for hearing except in cases 
in which the applicant waives the right of personal appearance and/or 
representation by counsel. Such notice shall constitute compliance with 
the requirement of notice to applicant and his counsel. The record shall 
contain the certificate of the secretary that written notice was given 
applicant and his counsel, if any, and the time and manner thereof.
    (iii) An applicant who requests a hearing and who, after being duly 
notified of the time and place of hearing, fails to appear at the 
appointed time, either in person or by counsel, or, in writing, waives 
his right to appear, thereby waives such right.
    (iv) In the conduct of its inquiries, the review board shall not be 
limited by the restrictions of common law rules of evidence.
    (v) In the case wherein it is advisable and practicable, the review 
board may, at the request of the examiner, or upon its own motion, 
request The Surgeon General to detail one or more medical officers to 
make physical examination of the applicant, if available, and report 
their findings resulting from such examination with respect to the 
matters at issue, either in person or by affidavit. When testifying in 
person at a hearing, such medical witnesses will be subject to cross-
examination. Similarly the medical members of the board may examine the 
applicant, if available, and testify as witnesses concerning the results 
of such examination.
    (vi) Expenses incurred by the applicant, his witnesses, or in the 
procurement of their testimony, whether in person, by affidavit or by 
deposition will not be paid by the Government.
    (3) Continuances. The review board may continue a hearing on its own 
motion. A request for continuance by the examiner or by or on behalf of 
the applicant may be granted, if in the board's discretion, a 
continuance appears necessary to insure a full and fair hearing.
    (c) Findings, conclusions, and directions--(1) Findings, 
conclusions, and directions of review board. (i) The review board will 
make written findings in closed session in each case. Such findings will 
include:
    (a) Statement of complete findings of the retiring or disposition 
board and of administrative action subsequent thereto in the proceedings 
under review;
    (b) A finding affirming or reversing the findings of such retiring 
or disposition board or such administrative action, specifying which of 
the findings or administrative actions are affirmed and which are 
reversed.
    (ii) In the event the review board reverses any of such original 
findings or administrative actions, the review board will then make 
complete findings which shall include the affirmed findings of the 
original board or of administrative action subsequent thereto. Such 
complete findings shall include the following:

[[Page 467]]

    (a) Whether the applicant was permanently incapacitated for active 
service at the time of his separation from the service or release to 
inactive service.
    (b) The cause or causes of the incapacity.
    (c) The approximate date of origin of each incapacitating defect.
    (d) The date officer became incapacitated for active service.
    (e) Whether the cause or causes of the incapacity was or was not an 
incident of service.
    (f) Whether the cause or causes of the incapacity had been 
permanently aggravated by military service.
    (g) Whether such incapacity for active service was or was not the 
result of an incident of service.
    (h) Whether the officer's incapacity was or was not incurred in 
combat with an enemy of the United States or whether it did or did not 
result from an explosion of an instrumentality of war in line of duty.
    (iii) In the event the review board finds the officer permanently 
incapacitated for active service and that the incapacity was an incident 
of service, it will make an additional finding specifying the grade in 
which the officer is entitled to be retired or to be certified for 
retirement pay benefits.
    (iv) The findings, conclusions, and directions of a majority of the 
review board shall constitute the findings, conclusions, and directions 
of the review board, and when made, will be signed by each member of the 
review board who concurs therein, filed, and authenticated by the 
secretary.
    (d) Disposition of and action upon proceedings--(1) Record of 
proceedings. (i) When the review board has concluded its proceedings in 
any case, the secretary will prepare a complete record thereof. Such 
record shall include the application for review; a transcript of the 
hearing if any; affidavits, papers and documents considered by the 
review board; all briefs and written arguments filed in the case; the 
report of the examiner; the findings, conclusions, and directions of the 
review board; any minority report prepared by dissenting members of the 
review board; and all other papers and documents necessary to reflect a 
true and complete history of the proceedings. The record so prepared 
will be signed by the president of the review board and authenticated by 
its secretary as being true and complete. In the event of the absence or 
incapacity of the secretary, the record may be authenticated by a second 
participating member of the review board.
    (ii) All records of proceedings of the review board shall be 
confidential, except that upon written request from the applicant, his 
guardian or legal representative, The Adjutant General will furnish a 
copy of the proceedings of the review board, less any exhibits which it 
may be found impracticable to reproduce out which will include:
    (a) A copy of the order appointing the board.
    (b) The findings of the Army retiring board affirmed.
    (c) The findings of the Army retiring board reversed.
    (d) The findings of the review board.
    (e) The conclusions which were made by the review board.
    (f) The directions of the Secretary of the Army.

If it should appear that furnishing such information would prove 
injurious to the physical or mental health of the applicant, such 
information will be furnished only to the guardian or legal 
representative of the applicant. The Adjutant General, subject to the 
foregoing restrictions, will make available for inspection, upon request 
of the applicant, his guardian or legal representative, a record of the 
proceedings of any case reviewed by the review board, but copies of the 
proceedings of any case heard prior to January 4, 1946, will not be 
furnished if such copies are not readily available.
    (2) Final action by review board. When the review board has 
completed the proceedings and has arrived at its decision, the 
proceedings, together with the review board's decision, will be 
transmitted to The Adjutant General for appropriate Department of the 
Army action. The Adjutant General, in the name of the President of the 
United States, will indicate on the record of such proceedings and 
decision the President's approval or disapproval of the action of the 
review board, and will perform such administerial acts as may be 
necessary and thereafter will

[[Page 468]]

notify the applicant and/or his counsel of the action taken. Written 
notice, specifying the action taken and the date thereof, will be 
transmitted by The Adjutant General to the president of the review board 
to be filed by the secretary as a part of the records of the board 
pertaining to each case.
    (e) Rehearings--(1) Policy on the granting of rehearings. After the 
review board has reviewed a case and its findings and decision have been 
approved, the case will normally not be reconsidered except on the basis 
of new, pertinent, and material evidence, which if previously considered 
could reasonably be expected to have caused findings and a decision 
other than those rendered as the result of the original review. An 
application for rehearing must be made within a reasonable time after 
the discovery of the new evidence, mentioned in this subparagraph, and 
the request for rehearing must be accompanied by such new evidence and 
by a showing that the applicant was duly diligent in attempting to 
secure all available evidence for presentation to the review board when 
his case was previously reviewed and that the reason for the delay in 
discovering such new evidence was not due to fault or neglect on the 
part of the applicant.
    (2) Application for rehearing. Any officer desiring a rehearing of 
his case will make a written application therefor on WD AGO Form 0413 
(Application for Review of Findings of the Army Disability Review Board) 
which may be obtained from The Adjutant General, Washington, DC 20310, 
Attention: AGPO-S-D.

[13 FR 6805, Nov. 19, 1948, as amended at 19 FR 6706, Oct. 19, 1954]



Sec. 581.2  Army Discharge Review Board.

    (a) Purpose. This regulation implements 10 U.S.C. 1553, Pub. L. 95-
126, and DOD Directive 1332.28 (app. A).
    (b) Explanation of terms--(1) Legal consultant of the Army Discharge 
Review Board (ADRB). An officer of The Judge Advocate General's Corps 
assigned to the ADRB to provide opinions and guidance on legal matters 
relating to ADRB functions.
    (2) Medical consultant of the ADRB. An officer of the Army Medical 
Corps assigned to the ADRB to provide opinions and guidance on medical 
matters relating to ADRB functions.
    (3) Video tape hearing. A hearing conducted by an ADRB hearing 
examiner at which an applicant is given the opportuntiy to present his/
her appeal to the hearing examiner, with the entire presentation, 
including cross-examination by the hearing examiner, recorded on video 
tape. This video tape presentation is later displayed to a full ADRB 
panel. Video tape hearings will be conducted only with the consent of 
the applicant and with the concurrence of the President of the ADRB.
    (c) Composition and responsibilities--(1) Authority. The ADRB is 
established under Pub. L. 95-126 and 10 U.S.C. 1553 and is responsible 
for the implementation of the Discharge Review Board (DRB) procedures 
and standards within DA.
    (2) The ADRB president. The president is designated by the Secretary 
of the Army (SA). The President--
    (i) Is responsible for the operation of the ADRB.
    (ii) Prescribes the operating procedures of the ADRB.
    (iii) Designates officers to sit on panels.
    (iv) Schedules panels to hear discharge review appeals.
    (v) Monitors the DOD directed responsibilities of the SA on service 
discharge review matters for the DOD.
    (3) ADRB panels and members. The ADRB will have one or more panels. 
Each panel, when in deliberation, will consist of five officers. The 
senior officer (or as designated by the president ADRB) will act as the 
presiding officer.
    (4) Secretary Recorder (SR) Branch. The Chief, SR--
    (i) Ensures the efficient overall operation and support of the ADRB 
panels.
    (ii) Authenticates the case report and directives of cases heard.
    (5) Secretary Recorder. The SR is an officer assigned to the SR 
Branch whose duties are to--
    (i) Schedule, coordinate, and arrange for panel hearings at a 
designated site.
    (ii) Administer oaths to applicants and witnesses under Article 136 
UCMJ.
    (iii) Ensure that the proceedings of the cases heard and recorded 
into the case report and directive of cases.

[[Page 469]]

    (6) Administrative Specialist. An Administrative Specialist is an 
enlisted member assigned to the SR Branch whose duties are to--
    (i) Assist the SR in arranging panel hearings.
    (ii) Operate and maintain video and voice recording equipment.
    (iii) Aid the SR in the administrative operations of the panels.
    (7) Administrative personnel. Such administrative personnel as are 
required for the proper functions of the ADRB and its panels will be 
furnished by the SA.
    (d) Special standards. (1) Under the November 27, 1979, order of the 
United States District Court for the District of Columbia in ``Giles v. 
Secretary of the Army'' (Civil Action No. 77-0904), a former Army 
service member is entitled to an honorable discharge if a less than 
honorable discharge was issued to the service member who was discharged 
before 1 January 1975 as a result of an administrative proceeding in 
which the Army introduced evidence developed by or as a direct or 
indirect result of compelled urinalysis testing administered for the 
purpose of identifying drug abusers (either for the purpose of entry 
into a treatment program or to monitor progress through rehabilitation 
or follow up).
    (2) Applicants who believe they fall within the scope of paragraph 
(d)(1) of this section should place the work CATEGORY ``G'' in block 7, 
DD Form 293, (Application for Review of Discharge or Dismissal from the 
Armed Forces of the United States). Such applications will be reviewed 
expeditiously by a designated official who will either send the 
individual an honorable discharge certificate if the individual falls 
within the scope of paragraph (d)(1) of this section or forward the 
application to the ADRB if the individual does not fall within the scope 
of paragraph (d)(1) of this section. The action of the designated 
official will not constitute an action or decision by the ADRB.

[50 FR 33035, Aug. 16, 1985]



Sec. 581.3  Army Board for Correction of Military Records.

    (a) General--(1) Purpose. This section prescribes the policies and 
procedures for correction of military records by the Secretary of the 
Army, acting through the Army Board for Correction of Military Records 
(ABCMR).
    (2) Statutory authority. Title 10 U.S.C Section 1552, Correction of 
Military Records: Claims Incident Thereto, is the statutory authority 
for this regulation.
    (b) Responsibilities--(1) The Secretary of the Army. The Secretary 
of the Army will oversee the operations of the ABCMR. The Secretary will 
take final action on applications, as appropriate.
    (2) The ABCMR Director. The ABCMR Director will manage the ABCMR's 
day-to-day operations.
    (3) The chair of an ABCMR panel. The chair of a given ABCMR panel 
will preside over the panel, conduct a hearing, maintain order, ensure 
the applicant receives a full and fair opportunity to be heard, and 
certify the written record of proceedings in pro forma and formal 
hearings as being true and correct.
    (4) The ABCMR members. The ABCMR members will--
    (i) Review all applications that are properly before them to 
determine the existence of error or injustice.
    (ii) If persuaded that material error or injustice exists, and that 
sufficient evidence exists on the record, direct or recommend changes in 
military records to correct the error or injustice.
    (iii) Recommend a hearing when appropriate in the interest of 
justice.
    (iv) Deny applications when the alleged error or injustice is not 
adequately supported by the evidence, and when a hearing is not deemed 
proper.
    (v) Deny applications when the application is not filed within 
prescribed time limits and when it is not in the interest of justice to 
excuse the failure to file in a timely manner.
    (5) The director of an Army records holding agency. The director of 
an Army records holding agency will--
    (i) Take appropriate action on routine issues that may be 
administratively corrected under authority inherent in the custodian of 
the records and that do not require ABCMR action.
    (ii) Furnish all requested Army military records to the ABCMR.
    (iii) Request additional information from the applicant, if needed, 
to assist

[[Page 470]]

the ABCMR in conducting a full and fair review of the matter.
    (iv) Take corrective action directed by the ABCMR or the Secretary 
of the Army.
    (v) Inform the Defense Finance and Accounting Service (DFAS), when 
appropriate; the applicant; applicant's counsel, if any; and interested 
Members of Congress, if any, after a correction is complete.
    (vi) Return original records of the soldier or former soldier 
obtained from the Department of Veterans Affairs (VA).
    (6) The commanders of Army Staff agencies and commands. The 
commanders of Army Staff agencies and commands will--
    (i) Furnish advisory opinions on matters within their areas of 
expertise upon request of the ABCMR, in a timely manner.
    (ii) Obtain additional information or documentation as needed before 
providing the opinions to the ABCMR.
    (iii) Provide records, investigations, information, and 
documentation upon request of the ABCMR.
    (iv) Provide additional assistance upon request of the ABCMR.
    (v) Take corrective action directed by the ABCMR or the Secretary of 
the Army.
    (7) The Director, Defense Finance and Accounting Service (DFAS). At 
the request of the ABCMR staff, the Director, DFAS, will--
    (i) Furnish advisory opinions on matters within the DFAS area of 
expertise upon request.
    (ii) Obtain additional information or documentation as needed before 
providing the opinions.
    (iii) Provide financial records upon request.
    (iv) On behalf of the Army, settle claims that are based on ABCMR 
final actions.
    (v) Report quarterly to the ABCMR Director on the monies expended as 
a result of ABCMR action and the names of the payees.
    (c) ABCMR establishment and functions--(1) ABCMR establishment. The 
ABCMR operates pursuant to law (10 U.S.C. 1552) within the Office of the 
Secretary of the Army. The ABCMR consists of civilians regularly 
employed in the executive part of the Department of the Army (DA) who 
are appointed by the Secretary of the Army and serve on the ABCMR as an 
additional duty. Three members constitute a quorum.
    (2) ABCMR functions. (i) The ABCMR considers individual applications 
that are properly brought before it. In appropriate cases, it directs or 
recommends correction of military records to remove an error or 
injustice.
    (ii) When an applicant has suffered reprisal under the Military 
Whistleblower Protection Act 10 U.S.C. 1034 and Department of Defense 
Directive (DODD) 7050.6, the ABCMR may recommend to the Secretary of the 
Army that disciplinary or administrative action be taken against any 
Army official who committed an act of reprisal against the applicant.
    (iii) The ABCMR will decide cases on the evidence of record. It is 
not an investigative body. The ABCMR may, in its discretion, hold a 
hearing (sometimes referred to as an evidentiary hearing or an 
administrative hearing in 10 U.S.C. 1034 and DODD 7050.6) or request 
additional evidence or opinions.
    (d) Application procedures--(1) Who may apply. (i) The ABCMR's 
jurisdiction under 10 U.S.C. 1552 extends to any military record of the 
DA. It is the nature of the record and the status of the applicant that 
define the ABCMR's jurisdiction.
    (ii) Usually applicants are soldiers or former soldiers of the 
Active Army, the U.S. Army Reserve (USAR), and in certain cases, the 
Army National Guard of the United States (ARNGUS) and other military and 
civilian individuals affected by an Army military record. Requests are 
personal to the applicant and relate to military records. Requests are 
submitted on DD Form 149 (Application for Correction of Military Record 
under the Provisions of 10 U.S.C. 1552). Soldiers need not submit 
applications through their chain of command.
    (iii) 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, missing, or deceased. Depending on the 
circumstances, a

[[Page 471]]

child, spouse, parent or other close relative, heir, or legal 
representative (such as a guardian or executor) of the soldier or former 
soldier may be able to demonstrate a proper interest. Applicants must 
send proof of proper interest with the application when requesting 
correction of another person's military records.
    (2) Time limits. Applicants must file an application within 3 years 
after an alleged error or injustice is discovered or reasonably should 
have been discovered. The ABCMR may deny an untimely application. The 
ABCMR may excuse untimely filing in the interest of justice.
    (3) Administrative remedies. The ABCMR will not consider an 
application until the applicant has exhausted all administrative 
remedies to correct the alleged error or injustice.
    (4) Stay of other proceedings. Applying to the ABCMR does not stay 
other proceedings.
    (5) Counsel. (i) Applicants may be represented by counsel, at their 
own expense.
    (ii) See DODD 7050.6 for provisions for counsel in cases processed 
under 10 U.S.C. 1034.
    (e) Actions by the ABCMR Director and staff--(1) Criteria. The ABCMR 
staff will review each application to determine if it meets the criteria 
for consideration by the ABCMR. The application may be returned without 
action if--
    (i) The applicant fails to complete and sign the application.
    (ii) The applicant has not exhausted all other administrative 
remedies.
    (iii) The ABCMR does not have jurisdiction to grant the requested 
relief.
    (iv) No new evidence was submitted with a request for 
reconsideration.
    (2) Burden of proof. The ABCMR begins its consideration of each case 
with the presumption of administrative regularity. The applicant has the 
burden of proving an error or injustice by a preponderance of the 
evidence.
    (3) ABCMR consideration. (i) A panel consisting of at least three 
ABCMR members will consider each application that is properly brought 
before it. One panel member will serve as the chair.
    (ii) The panel members may consider a case on the merits in 
executive session or may authorize a hearing.
    (iii) Each application will be reviewed to determine--
    (A) Whether the preponderance of the evidence shows that an error or 
injustice exists and--
    (1) If so, what relief is appropriate.
    (2) If not, deny relief.
    (B) Whether to authorize a hearing.
    (C) If the application is filed outside the statute of limitations 
and whether to deny based on untimeliness or to waive the statute in the 
interest of justice.
    (f) Hearings. ABCMR hearings. Applicants do not have a right to a 
hearing before the ABCMR. The Director or the ABCMR may grant a formal 
hearing whenever justice requires.
    (g) Disposition of applications--(1) ABCMR decisions. The panel 
members' majority vote constitutes the action of the ABCMR. The ABCMR's 
findings, recommendations, and in the case of a denial, the rationale 
will be in writing.
    (2) ABCMR final action. (i) Except as otherwise provided, the ABCMR 
acts for the Secretary of the Army, and an ABCMR decision is final when 
it--
    (A) Denies any application (except for actions based on reprisals 
investigated under 10 U.S.C. 1034).
    (B) Grants any application in whole or in part without a hearing 
when--
    (1) The relief is as recommended by the proper staff agency in an 
advisory opinion; and
    (2) Is unanimously agreed to by the ABCMR panel; and
    (3) Does not involve an appointment or promotion requiring 
confirmation by the Senate.
    (ii) The ABCMR will forward the decisional document to the Secretary 
of the Army for final decision in any case in which--
    (A) A hearing was held.
    (B) The facts involve reprisals under the Military Whistleblower 
Protection Act, confirmed by the DOD Inspector General (DODIG) under 10 
U.S.C. 1034 and DODD 7050.6.
    (C) The ABCMR recommends relief but is not authorized to act for the 
Secretary of the Army on the application.
    (3) Decision of the Secretary of the Army. (i) The Secretary of the 
Army may direct such action as he or she

[[Page 472]]

deems proper on each case. Cases returned to the Board for further 
consideration will be accompanied by a brief statement of the reasons 
for such action. If the Secretary does not accept the ABCMR's 
recommendation, adopts a minority position, or fashions an action that 
he or she deems proper and supported by the record, that decision will 
be in writing and will include a brief statement of the grounds for 
denial or revision.
    (ii) The Secretary of the Army will issue decisions on cases covered 
by the Military Whistleblower Protection Act (10 U.S.C. 1034 and DODD 
7050.6). In cases where the DODIG concluded that there was reprisal, 
these decisions will be made within 180 days after receipt of the 
application and the investigative report by the DODIG, the Department of 
the Army Inspector General (DAIG), or other Inspector General offices. 
Unless the full relief requested is granted, these applicants will be 
informed of their right to request review of the decision by the 
Secretary of Defense.
    (4) Reconsideration of ABCMR decision. An applicant may request the 
ABCMR to reconsider a Board decision under the following circumstances:
    (i) If the ABCMR receives the request for reconsideration within 1 
year of the ABCMR's original decision and if the ABCMR has not 
previously reconsidered the matter, the ABCMR staff will review the 
request to determine if it contains evidence (including, but not limited 
to, any facts or arguments as to why relief should be granted) that was 
not in the record at the time of the ABCMR's prior consideration. If new 
evidence has been submitted, the request will be submitted to the ABCMR 
for its determination of whether the new evidence is sufficient to 
demonstrate material error or injustice. If no new evidence is found, 
the ABCMR staff will return the application to the applicant without 
action.
    (ii) If the ABCMR receives a request for reconsideration more than 1 
year after the ABCMR's original decision or after the ABCMR has already 
considered one request for reconsideration, then the case will be 
returned without action and the applicant will be advised the next 
remedy is appeal to a court of appropriate jurisdiction.
    (h) Claims/Expenses--(1) Authority. (i) The Army, by law, may pay 
claims for amounts due to applicants as a result of correction of 
military records.
    (ii) The Army may not pay any claim previously compensated by 
Congress through enactment of a private law.
    (iii) The Army may not pay for any benefit to which the applicant 
might later become entitled under the laws and regulations managed by 
the VA.
    (2) Settlement of claims. (i) The ABCMR will furnish DFAS copies of 
decisions potentially affecting monetary entitlement or benefits. The 
DFAS will treat such decisions as claims for payment by or on behalf of 
the applicant.
    (ii) The DFAS will settle claims on the basis of the corrected 
military record. The DFAS will compute the amount due, if any. The DFAS 
may require applicants to furnish additional information to establish 
their status as proper parties to the claim and to aid in deciding 
amounts due. Earnings received from civilian employment during any 
period for which active duty pay and allowances are payable will be 
deducted. The applicant's acceptance of a settlement fully satisfies the 
claim concerned.
    (3) Payment of expenses. The Army may not pay attorney's fees or 
other expenses incurred by or on behalf of an applicant in connection 
with an application for correction of military records under 10 U.S.C. 
1552.
    (i) Miscellaneous provisions--(1) Special standards. (i) Pursuant to 
the November 27, 1979 order of the United States District Court for the 
District of Columbia in Giles v. Secretary of the Army (Civil Action No. 
77-0904), a former Army soldier is entitled to an honorable discharge if 
a less than honorable discharge was issued to the soldier on or before 
November 27, 1979 in an administrative proceeding in which the Army 
introduced evidence developed by or as a direct or indirect result of 
compelled urinalysis testing administered for the purpose of identifying 
drug abusers (either for the purposes of entry into a treatment program 
or to monitor progress through rehabilitation or follow-up).
    (ii) Applicants who believe that they fall within the scope of 
paragraph (i)(1)(i) of this section should place the

[[Page 473]]

term ``CATEGORY G'' in block 11b of DD Form 149. Such applications 
should be expeditiously reviewed by a designated official, who will 
either send the individual an honorable discharge certificate if the 
individual falls within the scope of paragraph (i)(1)(i) of this 
section, or forward the application to the Discharge Review Board if the 
individual does not fall within the scope of paragraph (i)(1)(i) of this 
section. The action of the designated official will not constitute an 
action or decision by the ABCMR.
    (2) Public access to decisions. (i) After deletion of personal 
information, a redacted copy of each decision will be indexed by subject 
and made available for review and copying at a public reading room at 
Crystal Mall 4, 1941 Jefferson Davis Highway, Arlington, Virginia. The 
index will be in a usable and concise form so as to indicate the topic 
considered and the reasons for the decision. Under the Freedom of 
Information Act (5 U.S.C. 552), records created on or after November 1, 
1996 will be available by electronic means.
    (ii) Under the Freedom of Information Act and the Privacy Act of 
1974 (5 U.S.C. 552a), the ABCMR will not furnish to third parties 
information submitted with or about an application unless specific 
written authorization is received from the applicant or unless the Board 
is otherwise authorized by law.

[65 FR 17441, Apr. 3, 2000, as amended at 70 FR 67368, Nov. 7, 2005]

                  PART 583_FORMER PERSONNEL [RESERVED]



PART 584_FAMILY SUPPORT, CHILD CUSTODY, AND PATERNITY--Table of Contents




Sec.
584.1 General.
584.2 Family support and child custody.
584.3 Paternity claims.
584.4 Adoption proceedings.
584.5 U.S. citizenship determinations on children born out of wedlock in 
          a foreign country.
584.6 Procedures governing nonactive duty or discharged personnel.
584.7 Basic allowance for quarters.
584.8 Garnishment.
584.9 Involuntary allotments.

Appendix A to Part 584--Reference

    Authority: 10 U.S.C. 3012.

    Source: 50 FR 52447, Dec. 24, 1985, unless otherwise noted.



Sec. 584.1  General.

    (a) Purpose. This regulation sets forth the Department of the Army 
(DA) policy, responsibilities, and procedures on--
    (1) Support and nonsupport of family members.
    (2) Child custody.
    (3) Paternity claims.
    (4) Adoption proceedings involving the children of soldiers.
    (b) References. Required and related publications and prescribed and 
referenced forms are listed in appendix A.
    (c) Explanation of abbreviations and terms. Abbreviations and 
special terms used in this regulation are explained in the glossary.
    (d) Responsibilities. (1) The Deputy Chief of Staff for Personnel 
will set policy for processing--
    (i) Nonsupport complaints.
    (ii) Child custody complaints.
    (iii) Paternity claims.
    (iv) Requests on adoption proceedings of children of soldiers.
    (2) The Commanding General (CG), U.S. Army Community and Family 
Support Center (USACFSC) will--
    (i) Set procedures for processing the following:
    (A) Nonsupport complaints.
    (B) Child custody complaints.
    (C) Paternity claims.
    (D) Requests regarding adoption proceedings of children of soldiers.
    (ii) Process nonsupport complaints, child custody complaints, and 
paternity claims received at USACFSC regarding Army soldiers.
    (iii) Carry out the objectives of this regulation to protect the 
rights of the soldier, the family, and the interests of the Army.
    (iv) Advise and assist the heads of Headquarters, Department of the 
Army (HQDA) agencies, commanders of the major Army commands, and other 
commanders on matters pertaining to--
    (A) Nonsupport.
    (B) Child custody.
    (C) Paternity.
    (D) Adoption proceedings of children of soldiers.

[[Page 474]]

    (3) Officers having general court-martial jurisdiction will give 
special emphasis to the support of family members in command information 
programs. This includes informing soldiers of Army policy and of their 
responsibility to provide adequate support for all family members and to 
comply with all court orders.
    (4) First level field grade commanders will monitor all instances of 
soldiers' repeated failure to meet the requirements of this regulation 
that are brought to their attention. They will take action, when proper.
    (5) Immediate commanders will--
    (i) Ensure that soldiers are informed of the DA policy on support of 
family members and that they comply with court orders. They will also 
inform soldiers of the possible consequences of failing to fulfill 
financial obligations. This information will be included during 
inprocessing and outprocessing briefings, particularly during processing 
for mobilization and oversea movement.
    (ii) Process nonsupport complaints, child custody complaints, and 
paternity claims per this regulation.
    (iii) Counsel soldiers when complaints and claim are received. If 
the soldier is suspected of criminal conduct, self-incrimination 
protections (article 31, Uniform Code of Military Justice (UCMJ) and 
rights advisement) must be provided. (See Sec. 584.2(g)(4).)
    (iv) Answer all correspondence received from CG, USACFSC and other 
DA officials. In answering this correspondence, the commander will--
    (A) Furnish complete details regarding nonsupport complaints, child 
custody complaints, and paternity claims.
    (B) Reveal whether or not the soldier authorized the release outside 
the Department of Defense (DOD) of information obtained from a system of 
records. His or her decision should be recorded on DA Form 5459-R 
(Authorization to Release Information from Army Records on Nonsupport/
Child Custody/Paternity Complaints).
    (v) Answer all correspondence received directly from family members, 
legal assistance attorneys, and others. Normally, replies will not 
include information obtained from a system of records without the 
soldier's written consent. (See Sec. 584.1(f).) Commanders may 
coordinate responses with the Staff Judge Advocate (SJA). Also, the 
commander will ask the SJA for guidance in unusual or difficult 
situations.
    (vi) Inform the first level field grade commander of all instances 
of the soldier's repeated failure to meet the requirements of this 
regulation or to comply with court orders. Also, point out actions taken 
or contemplated to correct instances of nonsupport of family members or 
continuing violations of court orders.
    (vii) Refer correspondence or queries received from news media 
organizations to the unit, installation, or command public affairs 
officer for response.
    (viii) Take appropriate action against soldiers who fail to comply 
with this regulation. These actions include, but are not limited to, the 
actions in Sec. 584.1(d)(5)(viii) (A) through (E). Failure to comply 
with the minimum support requirements (Sec. 584.2(d)) or the child 
custody provisions (Sec. 584.2(e)) of this regulation may be charged as 
violations of article 92, UCMJ. Article 132, UCMJ, prohibits the making 
of false claims. Article 133, UCMJ, covers conduct unbecoming an 
officer. Article 134, UCMJ, concerns dishonorable failure to pay debts 
and conduct of a nature to bring discredit upon the Armed Forces. Also, 
the criminal laws of some States prohibit the abduction of children by a 
parent or the nonsupport of family members in violation of existing 
court orders. These laws may also apply against soldiers under article 
134, UCMJ, and Assimilative Crimes Act, section 13, title 18, United 
States Code (18 U.S.C. 13).
    (A) Denial of reenlistment for enlisted members (AR 601-280).
    (B) Letter of reprimand for filing in a soldier's Military Personnel 
Records Jacket or Official Military Personnel File (AR 600-37).
    (C) Administrative separation from the service (AR 635-100 or AR 
635-200).
    (D) Nonjudicial punishment under article 15, UCMJ.
    (E) Court-martial.
    (ix) Urge soldiers to provide additional financial support beyond 
the required minimum whether the needs of the family so require.

[[Page 475]]

    (x) After coordination with the SJA and appropriate command 
representatives, and under applicable State, Federal, and host country 
laws, take remedial steps to assist in the following:
    (A) Elimination of continuing violations of court orders and this 
regulation on child custody.
    (B) Return of such children to the parent or guardian entitled to 
custody.
    (6) The unit, installation, or command public affairs officer will--
    (i) Answer correspondence and queries received from news media 
organizations.
    (ii) Coordinate with the SJA before making any response.
    (e) Policy. (1) Soldiers of the Army are required to manage their 
personal affairs statisfactorily. This responsibility includes--
    (i) Providing adequate and continuous support to or for family 
members. (See Sec. 584.2.)
    (ii) Complying with all court orders.
    (2) The Army has an interest in the welfare of both soldiers and 
their families. This is recognized by numerous laws and programs 
authorizing the following:
    (i) Family housing.
    (ii) Living and travel allowances.
    (iii) Medical care.
    (iv) Child care and development.
    (v) Community support services.
    (3) Because of military duty, soldiers and their families often live 
in States in which they have not established domicile. Frequently, they 
reside in foreign nations. This often places soldiers beyond the 
judicial process of State courts.
    (4) The Army recognizes the transient nature of military duty. This 
regulation prohibits the use of a soldier's military status or 
assignment to deny financial support to family members or to evade court 
orders on child support or custody. Commanders have a responsibility to 
ensure that soldiers provide for the welfare of their families. Before 
recommending approval of requests for, or extensions of, oversea 
assignments, commanders should consider whether the soldier's oversea 
assignment will adversely affect the legal rights of family members in 
pending court actions against the soldier.
    (5) The policy in this regulation regarding the financial support of 
family members is solely intended as an interim measure until the 
parties--
    (i) Arrive at a mutually satisfactory agreement, or
    (ii) Resolve their differences in court.
    (6) Soldiers are entitled to the same legal rights and privileges in 
State courts as civilians. This includes determining the extent and 
amount of their support obligations to family members. This regulation 
is not intended to be used as a guide by courts in determining the 
following:
    (i) The existence of support obligations.
    (ii) The amount of past, present, or future support obligations.
    (f) Release of information. (1) Soldiers will be provided the 
opportunity of completing DA Form 5459-R before being questioned about 
compliants or claims under this regulation. Information voluntarily 
provided by soldiers may be used by commanders to answer inquiries. 
Replies normally will not include information obtained from a system of 
records without the soldier's written consent.
    (2) Some information may be released outside DOD from a system of 
records even without the soldier's written consent. Under the Privacy 
Act (5 U.S.C. 552a(b)(2) and AR 340-21, para 3-3), information may be 
released, if required, under the Freedom of Information Act. Under 5 
U.S.C. 552(b)(6) and AR 340-17, chapter III, information from personnel 
and other similar files may be released if it does not constitute a 
``clearly unwarranted invasion of privacy.'' The information released 
must be in the public interest.
    (3) The type of information that may be released from a system of 
records without the soldier's consent will vary from case to case. In 
each case, the public interest of having soldiers support their families 
and obey court orders must be balanced against the sensitivity of the 
privacy interests involved. Army policy favors permanent resolution of 
support and custody matters in court. The denial of information that 
hinders such resolution is not in the public interest.

[[Page 476]]

    (4) Before releasing information from a system of records without 
the soldier's consent, commanders may consult the SJA. Generally, the 
types of information shown below may be released to the complaining 
family member entitled to support or those authorized by the family 
member to act in his or her behalf (for example, legal assistance 
attorneys, Member of Congress, courts, Government welfare agencies).
    (i) Present unit of assignment, including port calls and future duty 
assignments, permanent or temporary, if known.
    (ii) Scheduled separation and retirement dates from the Service.
    (iii) Rank and authorized pay and allowances for that grade.
    (iv) Allotments authorized or being authorized for or in behalf of 
the family member entitled to support.
    (v) The soldier's stated intentions, if any, regarding resolution of 
the complaint.
    (vi) The general whereabouts of the soldier's children, if known.
    (5) The SJA should be consulted for legal advice before the 
residential address of a soldier or family member is released.
    (6) Any information released should be pertinent to the inquiry. The 
soldier's relationship, if any, to the person making the inquiry, should 
be considered. Consistent with the purpose of this regulation, 
information that unduly invades the privacy of the soldier or his or her 
family should not be released.
    (g) Penalties. Compliance with the minimum support requirements 
Sec. 584.2(d)) and child custody provisions (Sec.  584.2(e)) of this 
regulation will be enforced by administrative and criminal remedies as 
appropriate.
    (h) Basic allowance for quarters. A summary of the rules regarding 
entitlements to basic allowance for quarters (BAQ) is in Sec. 584.7. 
The minimum support requirements of this regulation are stated in 
amounts equal to a soldier's BAQ at the ``with dependents'' rate. 
However, a soldier's entitlement or lack of entitlement to such 
allowances has no relationship to the obligation under this regulation 
to support family members. Except for Sec. 584.2(f)(2)(ii)(B), the 
actual receipt or nonreceipt of BAQ also has no relationship to that 
obligation.
    (i) Entitlement of variable housing allowance. Soldiers entitled to 
BAQ at the ``with'' or ``without dependents'' rate may be entitled to 
variable housing allowance (VHA). Terms for receiving VHA are set forth 
in the Joint Travel Regulations, M4550 through M4557. Soldiers may use 
VHA to defray housing costs for family members.
    (j) Garnishment. A summary of the rules regarding garnishment of 
Federal wages is in Sec. 584.8.
    (k) Involuntary allotments. A summary of the rules regarding 
involuntary allotments from pay and allowances is in Sec. 584.9.



Sec. 584.2  Family support and child custody.

    (a) General. (1) This chapter requires soldiers to provide financial 
support to family members and to obey court orders on child custody. It 
also provides guidance and policy to commanders to follow when resolving 
nonsupport and child custody issues. Consistent with specific provisions 
below, a soldier will--
    (i) Furnish financial support to family members that meets at least 
the minimum support requirements of this regulation (Sec. 584.2(d)).
    (ii) Provide such additional support within his or her financial 
ability to meet the financial needs of family members (Sec. 584.2(j)).
    (iii) Comply with all court-imposed obligations (Sec. 584.2(c)(3)).
    (iv) Obey court orders and this regulation on child custody and 
visitation rights (Sec. 584.2(e)).
    (2) It is the responsibility of soldiers to resolve nonsupport 
issues with family members by one of the methods shown in Sec. 
584.2(a)(2)(i) through (iii). In all cases, Army support policy for 
family members should be considered temporary until either an agreement 
has been reached between the parties (including those acting on behalf 
of minor children) or court action has been taken.
    (i) Oral agreements.
    (ii) Written support agreements.
    (iii) Court orders.

[[Page 477]]

    (3) Each complaint of nonsupport will be considered individually by 
the soldier's immediate commander. Alleged desertion or other marital 
misconduct on the part of a spouse has no effect on a soldier's 
obligation to provide financial support as required by Sec. 584.2(d).
    (b) Separation from family due to military service. Military service 
often requires soldiers to live separately from their families during 
oversea service or extended temporary duty. Soldiers must plan carefully 
for the support of their families during these periods. Commanders will 
educate soldiers and their families on the advantages of joint bank 
accounts. Such arrangements usually minimize the hardship and financial 
burden on family members that may occur during periods of such 
separation. If proper, commanders will urge soliders to start an 
allotment to or for their family to ensure continuous financial support. 
The amount of such a support allotment should be set up by agreement 
between the soldier and his or her family. In the absence of such an 
agreement or a court order, the provisions of Sec. 584.2(d)(2) apply. 
Each soldier is expected to keep reasonable contact with family members 
to minimize inquiries, claims, and compliants sent to Army officials.
    (c) Support by oral agreement, written support agreement, or court 
order--(1) Oral agreement. It is not the Army's policy to involve itself 
in disputes over the terms or enforcement of oral support agreements. 
Where an oral agreement exists and is being followed, the Army need not 
and will not interfere. When a dispute arises, the Army will require 
compliance only with the provisions of this regulation. Thus, if a 
family member complains that a soldier is not sending an agreed upon 
amount that is less or more than the minimum required by Sec. 584.2(d), 
the commander will advise the soldier to either send the agreed upon 
amount or the minimum amount required by Sec. 584.2(d). Section 
584.2(d) applies when the parties cannot reach an oral agreement or the 
amount agreed upon is in dispute. In appropriate cases, the commander 
can order additional support beyond the minimum amount required by Sec. 
584.2(d). (See Sec. 584.2(j).)
    (2) Written support agreement. If the parties are separated and have 
a signed written agreement, the amount of support specified in such an 
agreement controls. A signed written agreement includes a separation 
agreement or a property settlement agreement. A written agreement on 
support also may be shown by letters exchanged between the parties in 
which the amount of support has been agreed to by the parties. If the 
agreement is silent on an amount of spousal and/or child support, the 
interim minimum financial support requirements of Sec. 584.2(d)(2) 
apply. The amount specified in the written agreement will be deemed 
adequate until modified by--
    (i) Another agreement reduced to writing and signed by both parties.
    (ii) Court order.
    (3) Court order. (i) Court orders often contain other financial 
obligations, such as provisions for property division, marital property 
awards, and payment of medical and other expenses. Commanders have a 
responsibility to ensure that soldiers comply with these provisions. 
Soldiers will comply with all court-imposed obligations. Failure to do 
so may result in costly and time-consuming litigation or court contempt 
proceedings. These actions often are to the detriment of the soldier and 
the unit's readiness mission. Section 584.2 (d)(1)(i), however, only 
applies to court orders directing the soldier to provide financial 
support to family members on a periodic basis.
    (ii) Court orders under this regulation include those orders issued 
by the courts of the Federal Republic of Germany (FRG). The courts must 
have acquired valid jurisdiction consistent with the provisions of 
articles 32 through 37 of the Supplementary Agreement concerning foreign 
forces stationed in the FRG. This agreement supplements the North 
Atlantic Treaty Organization Status of Forces Agreement. A soldier will 
comply with all other foreign nation court and administrative orders 
that are recognized by treaty or international agreement.
    (iii) Commanders should be aware that conditions may have changed 
greatly from when a court order was issued. For example, a soldier may 
have gained other family

[[Page 478]]

responsibilies. Many outstanding and uncontested support orders against 
soldiers cause severe hardship. Such orders can only be modified by a 
court. If a soldier's income appears inadequate to satisfy an 
outstanding order and still maintain the soldier, the commander should 
urge the individual to consult a legal assistance attorney. However, the 
soldier will comply with the terms of a court order until relieved of 
this obligation by modification of the order by a court.
    (d) Minimum support requirements. (1) Soldiers will not violate the 
following:
    (i) Financial support provisions of a court order.
    (ii) Financial support provisions of a written support agreement in 
the absence of a court order.
    (iii) Interim minimum financial support requirements of Sec. 
584.2(d)(2) in the absence of a court order or written support 
agreement.
    (2) In the absence of a court order or written support agreement, 
and until such an order or agreement is obtained, the following interim 
minimum financial support requirements apply:
    (i) Single family units. (A) Family not living in Government family 
quarters. The soldier will provide support in an amount equal to the 
soldier's BAQ at the with-dependents rate. This amount of financial 
support will be provided for this family unit regardless of whether or 
not the soldier is--
    (1) Receiving BAQ.
    (2) Occupying Government family quarters.
    (B) Family living in Government family quarters. While the supported 
family is occupying Government family quarters, the soldier will provide 
an amount equal to the difference between BAQ at the with- and without-
dependents rate. When the supported family members move out of 
Government family quarters, support will be provided in an amount equal 
to BAQ at the with-dependents rate for the soldier's rank.
    (ii) Multiple-family units. In multi-family unit support situations, 
each supported family member will receive a pro-rata share of the BAQ at 
the with-dependents rate. This share will be determined by dividing an 
amount equal to BAQ at the with-dependents rate for the soldier's rank 
by the total number of supported family members (excluding former 
spouses). The following modifications apply: First, any court ordered 
support will be paid as stated. Secondly, supported families living in 
Government family quarters will receive an amount equal to the 
difference between BAQ at the with- and without-dependents rate for the 
soldier's rank. Lastly, any remaining family members (excluding former 
spouses) will receive a pro-rata share of the BAQ amount. This will be 
provided regardless of the amount of support paid to other family 
members. Following are examples:
    (A) Example 1. A soldier is divorced and has three children from 
that marriage. The soldier is required by a court order to pay $300 per 
month for the children and $100 per month for the former spouse. The 
soldier has remarried and has two more family members (spouse and child) 
living in private housing. The soldier now has a total of five family 
members that he or she must support under Army policy. (A former spouse 
does not qualify as a family member in pro-rata determinations.) The 
children by the previous marriage must receive $300 and the former 
spouse must receive $100 per the court order. The present spouse and 
child should receive support equal to two-fifths of BAQ at the with-
dependents rate for the soldier's rank.
    (B) Example 2. A soldier has one child by a previous marriage. There 
is no court order for child support. The soldier is unable to show that 
the court granting the divorce had personal jurisdiction over the 
soldier so as to be able to order child support. The soldier has 
remarried and has a spouse and two children living in private housing. 
The soldier now has a total of four family members that he or she must 
support under Army policy. (These family members are the child by a 
previous marriage and the present spouse and two children.) Each family 
member should receive support equal to one-fourth of BAQ at the with-
dependents rate for the soldier's rank.
    (C) Example 3. A soldier has two children by a previous marriage. 
The soldier is required by court order to pay $200 per month for these 
children. Also, the soldier is required to pay $75 per

[[Page 479]]

month for support of a child per a court order that has declared him to 
be the father. He has remarried and has a spouse and three children 
living in Government family quarters. The soldier now has a total of 
seven family members that he must support under Army policy. The 
children by his previous marriage must receive $200 per the court order. 
His other child must receive $75 per the court order. The spouse and 
children of his present marriage should receive an amount equal to the 
difference between BAQ at the with- and without-dependents rate for the 
soldier's rank.
    (iii) Military members married to one another. In the absence of a 
court order or written support agreement, an Army soldier is not 
required to provide support to a spouse on active duty in the Armed 
Forces.
    (iv) Children of military member parents.
    (A) Single family units. In the absence of a court order or written 
support agreement, the following interim support requirements apply:
    (1) Single family units when the Army soldier does not have custody 
of any children of the marriage. The Army soldier will pay an amount 
equal to the difference between his or her own BAQ at the with- and 
without-dependents rate to the military member having custody of the 
child or children of the marriage. This amount of financial support will 
be provided regardless of which military member, if any, is receving BAQ 
or occupying Government family quarters.
    (2) Single family units when the Army soldier has custody of the 
child or children of the marriage (for example, Army soldier has custody 
of one child and spouse has custody of two children). In this situation, 
the Army soldier is not required to provide a minimum amount of 
financial support for the children in the other military member's 
custody.
    (B) Multiple-family units. The provisions of Sec. 584.2(d)(2)(ii) 
apply. However, the amount in Sec. 584.2(d)(2)(iv)(A) will not be 
diminished by proration because of the Army soldier's financial support 
obligations to other family members. For example: An Army soldier has an 
adopted child from a previous marriage. The soldier is required by court 
order to pay $150 per month for this child. The soldier presently is 
married to a spouse on active duty with the Air Force. They have two 
children from this marriage. The Air Force member and children reside in 
private housing. The Army soldier has a total of three family members 
that he or she must support. The Army soldier will pay $150 a month to 
the adopted child per the court order. The children from the present 
marriage will receive an amount equal to the difference between his or 
her BAQ at the with- and without-dependents rates for the Army soldier's 
rank.
    (3) A commander has no authority to excuse a soldier from complying 
with the interim minimum support requirements of Sec. 584.2(d)(2) when 
they are applicable.
    (4) In the absence of a contrary provision in a written support 
agreement or court order, monthly financial support to family members 
will be sent before the last calendar day of the month for which the 
support is due. If the family members are not residing together, the 
soldier will ensure each family member receives his or her pro-rata 
share. (For example, spouse lives along and the children live with their 
grandparents.)
    (e) Child custody. (1) A soldier relative, who is aware that another 
person is a lawful custodian of an unmarried child under the age of 14 
years, will not--
    (i) Abduct, taken, entice, or carry away the child from the lawful 
custodian.
    (ii) Withhold, detain, or conceal the child away from the lawful 
custodian.
    (2) A ``lawful custodian'' is a person authorized, either along or 
together with another person or persons, to have custody and exercise 
control over a child less than 14 years of age by order of a court. The 
fact that joint custody has been awarded to both parents by a court does 
not preclude a violation of this paragraph by the soldier parent. 
However, in the absence of a court order to the contrary, the mother of 
a child born out of wedlock who is not then, nor has ever been, married 
to the father of the child is deemed the ``lawful custodian'' of that 
child for the purpose of this regulation.

[[Page 480]]

    (3) A soldier relative is a soldier who is the parent, grandparent, 
brother, sister, uncle, aunt, or one who has at some time been the 
lawful custodian of the child.
    (4) It is a defense to a violation of this paragraph that the 
soldier--
    (i) At the time of the offense had custody of the child to the 
exclusion of others pursuant to a valid order of a court having 
jurisdiction over the child; or
    (ii) Voluntarily returned the child to the lawful custodian within 
96 hours after return was demanded by the lawful custodian.
    (f) Relief from the minimum support requirement. (1) Court orders 
with financial support provisions.
    (i) Court ordered financial support will be by the terms of the 
court order. Relief from a court order can only be obtained under the 
law. Nothing in this regulation affects or lessens a soldier's legal 
obligation to comply strictly with the terms of a court order.
    (ii) A soldier who disobeys a court order may be held in contempt of 
the court that issued the order. Also, a soldier may be punished for 
violating this regulation. It is, however, a defense to any violation of 
Sec. 584.2(d)(1)(i) that--
    (A) The court issuing the order was without jurisdiction to do so, 
and
    (B) The soldier at all times has been complying with any of the 
following:
    (1) The financial support provisions of another court order.
    (2) The financial support provisions of a written support agreement.
    (3) The interim minimum financial support requirements of Sec. 
584.2(d)(2).
    (4) Court orders without financial support provisions.
    (iii) A soldier will provide financial support to family members 
unless expressly relieved of this obligation by--
    (A) Court order.
    (B) Written support agreement.
    (iv) A soldier will provide financial support under Sec. 
584.2(f)(2) to family members, which meets at least the minimum support 
requirements of this regulation. The financial support will be provided 
even when a court order contains no provision as to support except as 
follows:
    (A) A soldier has no obligation to provide financial support to a 
former spouse except by order of court.
    (B) A soldier has no obligation to provide financial support to 
minor children of the marriage if he or she can show the following:
    (1) The court issuing the final order of divorce had personal 
jurisdiction over the soldier to order child support.
    (2) The soldier is not receiving BAQ at the ``with dependents'' rate 
based solely on the support of the minor children in question.
    (3) Written support agreements. If a financial support obligation is 
evidenced by a written agreement between the parties, the soldier can 
only be relieved of this obligation by another written agreement or by 
court order.
    (4) Greater spousal income. In the absence of a written support 
agreement or court order, a soldier has no obligation to support a 
civilian spouse who is receiving an annual income equal to or greater 
than the annual gross pay of the soldier. The income of the spouse does 
not affect the soldier's obligation to provide financial support to the 
children of that marriage in the physical custody of the spouse on a 
pro-rata basis. Example: A soldier is living in Government family 
quarters with one of their children. The soldier's spouse deserted the 
soldier and lives in private housing with their other child. The 
soldier's spouse earns $5,000 more in annual income from a civilian job 
than the soldier earns in annual gross pay. There is no court order or 
written support agreement. The soldier has a total of three family 
members. However, under Army support policy, the soldier does not have 
to provide a pro-rata share of financial support to the spouse because 
the spouse's income exceeds that of the soldier. (Note that under Sec. 
584.2(a)(3) marital misconduct is not a relevant consideration.) The 
soldier must support the child in Government family quarters. In 
addition, the soldier must provide an amount equal to one-third of BAQ 
(pro-rata share) at the ``with dependents'' rate to the spouse on behalf 
of the child living with the spouse.
    (2) [Reserved]

[[Page 481]]

    (g) Commander's inquiries. (1) If a soldier denies he or she has a 
financial obligation to support a spouse or children for any reason, the 
soldier's commander will--
    (i) Inquire into the matter.
    (ii) Consult with the SJA prior to determining whether or not there 
is a support obligation. If there is no support obligation, BAQ at the 
``with dependents'' rate should be stopped.
    (2) If a soldier claims he or she has made support payments as 
required by this regulation, the soldier's commander will--
    (i) Request the soldier to provide proof of payment in one of the 
following forms:
    (A) Canceled personal checks.
    (B) Leave and earnings statements showing allotments.
    (C) Postal or money order receipts accompanied by a sworn statement 
from the soldier that the order was sent to the family member. If 
possible, evidence that the postal or money order was cashed by the 
complaining party should be provided.
    (D) Other acceptable evidence of payment.
    (ii) Consult with the SJA, if necessary, to determine whether the 
soldier has provided enough proof of payment.
    (3) If a soldier is suspected of violating a child custody or 
visitation rights in a court order, the soldier's commander will--
    (i) Inquire into the matter.
    (ii) Consult with the SJA prior to taking action.
    (4) In any case in which the soldier is suspected of violating this 
regulation (Sec. 584.2(d) or (e)), or of having committed other 
offenses, the commander, prior to questioning the soldier, will advise 
him or her of--
    (i) The suspected offense.
    (ii) The right to remain silent under article 31, UCMJ.
    (iii) The right to counsel under the Fifth Amendment.
    (h) Form of support payment. (1) Unless otherwise provided in the 
court order or by agreement, a financial support payment will be made in 
one of the following ways:
    (i) In cash.
    (ii) By check or money order.
    (iii) By allotment.
    (2) A soldier will receive credit for payments made to others on 
behalf of, and with the agreement of, the supported family members. 
Examples of support provided in kind include--
    (i) Rent.
    (ii) Utility services.
    (iii) Interest and principal due on loans, mortgages, or charge 
accounts.
    (iv) Insurance payments.
    (i) Arrearages--(1) General. A soldier who falls into arrears 
without legal justification or excuse is in violation of Sec. 584.2(d).
    (2) Court orders and written support agreements.
    (i) Amounts in arrears based on a past failure to comply with a 
court order or written support agreement will be paid at once in a lump 
sum amount. If an immediate lump sum payment is impractical, soldiers 
are expected to work out arrangements with the court or the affected 
family members to pay arrearages on a scheduled basis. If arrangements 
can not be worked out, commanders will intervene and order payment of 
arrearages on a scheduled basis based on the soldier's ability to pay.
    (ii) When arrearages arise from noncompliance with court orders and 
written support agreements, this may result in--
    (A) Garnishment of the soldier's pay account (Sec. 584.8).
    (B) Initiation of an involuntary allotment against the soldier's pay 
account (Sec. 584.9).
    (C) Contempt of court proceedings.
    (D) Recoupment of BAQ received by the soldier.
    (iii) Administrative or punitive action may be taken on a violation 
of this regulation for any month in which the soldier failed to provide 
the required financial support even if the amount in arrears eventually 
is paid.
    (3) Interim minimum financial support requirements. A soldier should 
be encouraged to pay the amount in arrears based on past noncompliance 
with the interim minimum financial support requirements (Sec. 584.2(d) 
(1)(iii) and (2)). However, a soldier cannot be ordered to pay such an 
amount. Nevertheless, administrative or punitive action may be taken on 
a violation of

[[Page 482]]

this regulation for any month in which the soldier failed to provide the 
required financial support even if the amount in arrears eventually is 
paid. Also, failure to provide required financial support in the past 
may be considered, together with other factors, in a commander's 
determination of the amount of additional support that may be ordered. 
(See Sec. 584.2(j).)
    (j) Additional support where there is no support agreement or court 
order.
    (1) Ordinarily, a soldier should not be required to provide 
financial support beyond that required by Sec. 584.2(d)(1)(iii). 
However, a soldier should provide additional support within his or her 
ability to meet the basic financial needs of family members when the 
interim support requirements of this regulation are shown to be 
inadequate.
    (2) If there is a demonstrated need for immediate and temporary 
additional support because of unexpected and unforeseen circumstances 
and the parties are unable to agree on such additional support, a 
commander may order temporary additional support.
    (3) Commanders will consider the following factors in determining 
the amount of additional support, if any, that a soldier should provide 
when a request for additional support is received:
    (i) The pay, allowances, separate income, and other financial 
resources of both the soldier and the family member for whom additional 
support is requested.
    (ii) The earning capacity of the family member on whose behalf 
support is requested.
    (iii) The financial savings of the soldier and family member.
    (iv) The separate and joint debts of the soldier and family member, 
by whom those debts were incurred, and the reasons behind them.
    (v) The soldier's duty to provide financial support to other family 
members, including former spouses.
    (vi) The financial needs of the soldier and the family member and 
whether these needs are temporary or permanent in nature.
    (vii) The standard of living of the soldier and family member and 
whether such standard of living is reasonable under the circumstances.
    (viii) With regard to spousal support, the duration of the marriage 
and the circumstances under which the parties separated.
    (ix) The extent of the soldier's or family member's compliance with 
existing court orders and written support agreements. This includes 
those provisions dealing with child custody, visitation rights, property 
division, and marital property awards.
    (x) The amount in arrears owed by the soldier based on past 
noncompliance with the minimum support requirements. (See Sec. 584.2 
(d) and (i).)
    (xi) Any other fact which, in the judgment of the commander, has a 
logical bearing upon the amount of additional support the soldier 
reasonably should be expected to provide.
    (k) Procedure for making complaints. (1) Complaints about nonsupport 
of family members and noncompliance with court orders on financial 
support and child custody should be sent through command channels. The 
complainant should be referred to the immediate commander of the soldier 
concerned.
    (2) The Inspector General (IG) may assist in properly routing the 
complaint. The IG also may assist if the responsible commander has 
failed to respond in a satisfactory manner or as required by this 
regulation. (See AR 20-1, para 4-9.)
    (3) The USACFSC (DACF-IS-PA) has set up an office to assist in these 
cases. USACFSC will provide policy interpretations and guidance on 
unresolved or complex cases, as needed. USACFSC normally will go through 
command channels to the immediate commander of the soldier concerned 
requesting that action be taken under this regulation.
    (4) Family members who present complaints against a military member 
of another Service (Air Force, Marine Corps, Navy, or Coast Guard) 
should be referred to the appropriate Service.
    (l) Commander's actions. (1) Upon receipt of a complaint of 
nonsupport or noncompliance with court orders, including provisions on 
child custody or visitation rights, the commander will review the 
complaint. He or she will do the following if the information is 
incomplete:

[[Page 483]]

    (i) Acknowledge receipt of the complaint.
    (ii) Explain that the information or documentation sent is not 
enough to give proper help.
    (iii) If appropriate, send the complainant DA Form 5460-R (Request 
for Help in Receiving Support and/or Identification Cards for Family 
Members).
    (iv) Advise that help will be given with the complaint upon return 
of the completed form and other requested information and documents.
    (v) If appropriate, advise that DA Form 5460-R alone is not enough 
documentation for issuance of a dependent identification card (ID card) 
(AR 640-3). Documentation (that is, court orders, birth certificates, 
marriage certificates, etc.) must be provided to support eligibility for 
benefits.
    (vi) Answer any policy or procedural questions that have been asked.
    (2) Upon receipt of DA Form 5460-R or a complaint that has enough 
information to properly respond, the commander will--
    (i) Review soldier's legal financial obligations in light of the 
complaint and the facts presented by all parties concerned.
    (ii) If necessary, ask the SJA if the complaint is valid, if the 
soldier must provide financial support or give up custody of children, 
and any other related questions.
    (iii) Notify the soldier of the complaint of nonsupport or of a 
violation of a child custody court order.
    (iv) Require the soldier to complete and sign DA Form 5459-R. 
Information obtained from a system of records ordinarily will not be 
released outside DOD without the soldier's consent. (See Sec. 
584.1(f).)
    (v) If the soldier is suspected of violating this regulation or of 
having committed other offenses, the commander, prior to questioning the 
soldier, will also advise him or her of--
    (A) The suspected offense.
    (B) The right to remain silent under article 31, UCMJ.
    (C) The right to counsel under the Fifth Amendment.
    (vi) Explain the following to the soldier:
    (A) The Army's policies regarding support of family members and 
compliance with court orders.
    (B) That refusal to give required support per this regulation may 
result in administrative or punitive action.
    (C) That a soldier is not entitled to BAQ at the ``with dependents'' 
rate when no part of the allowance is given to family members. 
Therefore, collection action may be initiated by the Army.
    (vii) Explain what garnishment is (Sec. 584.8) and how it might 
affect the soldier's pay, allowances, and allotments. For example, 
explain that the amount garnisheed monthly might significantly exceed 
monthly support obligations previously agreed upon.
    (viii) Tell the soldier of any court order for attachment or 
garnishment that has been received. Immediately send the court documents 
to the Commander, U.S. Army Finance and Accounting Center (USAFAC), 
ATTN: FINCL-G, Indianapolis, IN 46249-0260 for action. (See Sec. 
584.8(b).) Also, inform the soldier that if the document is in proper 
legal form, a portion of the soldier's pay and allowances will be 
garnisheed.
    (ix) Explain involuntary allotments (Sec. 584.9) if appropriate.
    (x) Coordinate with the soldier's servicing finance and accounting 
office (FAO) for problems of pay, allowances, and allotments.
    (xi) Urge soldiers to provide continuous support to family members 
by allotment. The allotment should be for the mutually agreed amount, 
court order, or as computed under this regulation. An account may be set 
up in a financial institution by the recipient to receive the allotment. 
This action may preclude delays in receipt and other related problems in 
the future.
    (xii) Help the soldier start an allotment to make the required 
support payments. Also, advise the soldier to let the commander know if 
there is a change or stoppage to the support allotment.
    (xiii) Give the soldier a chance to consult with a legal assistance 
attorney if he or she desires. However, the commander should ensure that 
this is not used as a delaying tactic. Where

[[Page 484]]

appropriate, a support payment plan should be initiated without delay.
    (xiv) Urge soldiers thinking about divorce to seek legal advice from 
a legal assistance attorney. Also, advise the soldier to ensure an 
amount of support is included in the court order for their children. 
This action may help to prevent future disputes.
    (xv) Ensure that the soldier is not receiving BAQ at the ``with 
dependents'' rate when not entitled to it. (See Sec. 584.7.)
    (xvi) Ask the soldier about his or her intentions. Give the soldier 
the chance to furnish a voluntarily signed statement admitting or 
denying the complaint and stating his or her intentions.
    (xvii) Send complaints received to the soldier's new duty station if 
he or she has been reassigned. Advise the complainant of the soldier's 
reporting date and the unit address to which correspondence should be 
sent. If proper, give the complainant a copy of DA Form 5460-R.
    (3) Advise the complainant courteously and promptly--
    (i) Of the Army policy in suitable areas of concern.
    (ii) Of the soldier's intentions, if the soldier allows release of 
the information.
    (iii) That personal problems outside the requirements of this 
regulation must be resolved in court if the parties cannot agree.
    (4) If proper to the situation, remind complainant of other helping 
agencies on post, such as the chaplain and Army Community Service. These 
agencies can give timely, interim help to meet immediate needs pending a 
more permanent resolution of the problem.
    (5) Retain the statements allowing or forbidding release of 
information to the complainant and the soldier's intentions with the 
case file for future reference. Documents/records will be filed per AR 
600-37 and the Army Functional Files System (AR 340-2 and AR 340-18).
    (6) Monitor actions closely to ensure promises of support or other 
actions by soldiers to complainants are being met.
    (7) Consider administrative or punitive action if proper.
    (8) Inform the first level field grade commander of the soldier's 
repeated failure to meet the requirements of this regulation. Also, 
point out actions taken or contemplated to correct instances of 
nonsupport of family members or violations of child custody court 
orders.



Sec. 584.3  Paternity claims.

    (a) General. (1) This chapter sets policy and procedures to process 
paternity claims against male Army soldiers. These procedures apply to 
claims made in the continental United States and in foreign countries. 
They apply to claims made by the claimant or on behalf of the claimant 
by attorneys, court officials, and others.
    (2) Soldiers will be informed of paternity claims against them. 
Commanders will ensure that soldiers are advised of their legal rights 
and will advise soldiers of their moral and legal obligations in the 
matter. Soldiers admitting paternity will be urged to provide the 
necessary financial support to the child. Also, they will take any other 
action proper under the circumstances.
    (b) Procedures for questioning soldiers about paternity claims upon 
receipt of a claim of paternity against a soldier, the commander will 
take the following actions:
    (1) If there is evidence that an offense (for example, rape, 
indecent acts with a minor) may have been committed--
    (i) Inform law enforcement officials.
    (ii) Inform the soldier of the suspected offense. Before 
questioning, advise the soldier of his right to remain silent under 
article, 31, UCMJ, and his right to counsel under the Fifth Amendment.
    (iii) Coordinate further action under this regulation with the SJA 
and law enforcement officials if appropriate.
    (2) If there is no evidence that an offense was committed--
    (i) Allow the soldier a chance to talk with a legal assistance 
attorney about his legal rights and obligations.
    (ii) Require the soldier to complete and sign DA Form 5459-R. 
Information obtained from a system of records normally will not be 
released outside DOD without the soldier's consent. (See Sec. 
584.1(f).)

[[Page 485]]

    (iii) Inform the soldier of Army policy on the support of family 
members contained in this regulation.
    (iv) Advise the soldier that a court order against him on the 
paternity claim, followed by a refusal to support a child born out of 
wedlock, could result in--
    (A) Administrative or punitive action for violating this regulation.
    (B) Garnishment of the soldier's pay account (Sec. 584.8).
    (C) Initiation of an involuntary allotment against the soldier's pay 
account (Sec. 584.9).
    (D) Contempt of court proceedings.
    (v) Ask the soldier about his intentions. Give the soldier the 
chance to furnish a voluntarily signed statement admitting or denying 
the claim and stating his intentions.
    (c) Procedures for processing paternity claims. (1) When one of the 
conditions in Sec. 584.3(c)(1)(i) applies, a claimant will be advised 
of the statement in Sec. 584.3(c)(1)(ii).
    (i) A soldier--
    (A) Refuses to answer questions about the paternity claim.
    (B) Denies paternity.
    (C) Admits paternity, but refuses to provide financial support.
    (ii) No action can be taken on the claim of paternity in the absence 
of a court order. The court order must identify the soldier in question 
as the father of the child. Also, the court order must direct that the 
soldier provide financial support to the child.
    (2) The commander will reply directly to the claimant or the 
attorney or court official she has authorized to act in her behalf. 
Information obtained from a system of records ordinarily will not be 
released outside DOD without the soldier's consent. (See Sec. 
584.1(f).)
    (3) If the soldier admits paternity and agrees to provide financial 
support, then the commander will--
    (i) Ask the claimant to provide a copy of the birth certificate.
    (ii) Help the soldier in filing for an allotment or providing other 
financial aid.
    (iii) Advise the claimant of the amount, effective date, and means 
of payment.
    (iv) Help the soldier apply for BAQ at the ``with dependents'' rate, 
if applicable. (A birth certificate may be required.)
    (v) Ensure an ID card is issued for the child after the relationship 
is documented, if proper. (A birth certificate may be required.) (See AR 
640-3, para 3-3, for dependency criteria for ID cards.)
    (vi) Allow the soldier to take ordinary leave in order to marry the 
claimant, if leave is requested for this purpose. However, the leave may 
be delayed if it will interfere with military requirements. Travel in 
connection with leave (including travel to and from overseas commands) 
is the responsibility of the soldier. Travel will be at no expense to 
the Government. If the marriage is to take place overseas, the soldier 
must comply with AR 600-240 and AR 608-61 in applying for authorization 
to marry (DA Form 2029-R) (Application for Authorization to Marry 
Outside of the United States).
    (d) Court orders. If a court order of paternity and support has been 
issued, the commander will--
    (1) Advise the soldier of the policy regarding support of family 
members.
    (2) Advise the soldier that refusal to support his child born out of 
wedlock could result in--
    (i) Garnishment of the soldier's pay account (Sec. 584.8).
    (ii) Initiation of an involuntary allotment against the soldier's 
pay account (Sec. 584.9).
    (iii) Contempt of court proceedings.
    (iv) Administrative or punitive action for violating this 
regulation.
    (3) Refer the soldier to a legal assistance attorney for advice on 
his legal rights and obligations.
    (4) Help the soldier file an attotment or give other financial aid.
    (5) Advise the claimant of the amount, effective date, and means of 
payment.
    (6) Help the soldier apply for BAQ at the ``with dependents'' rate, 
if applicable.
    (7) Ensure an ID card is issued for the child.
    (8) Consider administrative or punitive action if the soldier fails 
to obey the court order. (See Sec. 584.1(d)(5)(viii.)

[[Page 486]]

    (9) Inform the first level field grade commander of the soldier's 
repeated failure to meet the requirements of this regulation. Also, 
point out actions taken or contemplated to correct instances of 
nonsupport of family members.



Sec. 584.4  Adoption proceedings.

    (a) General. This chapter does not apply to those situations were a 
soldier is trying to adopt a child. It applies to those situations where 
another person is trying to adopt a legitimate or illegitimate child of 
a soldier. A child born in or out of wedlock normally may not be put up 
for adoption without the consent of the parents. Therefore, 
communications from a judge or court asking that a soldier appear at an 
adoption hearing must be answered.
    (b) Commander's actions. The commander will--
    (1) Inform the soldier or the inquiry.
    (2) Urge the soldier to see a legal assistance attorney.
    (3) Advise the court or judge, as appropriate, that--
    (i) A request by the soldier for leave to attend an adoption hearing 
on (date) has been granted.
    (ii) A request by the soldier for leave to attend an adoption 
hearing on (date), if made, would be approved.
    (iii) Due to military requirements, the soldier cannot be granted 
leave to attend any court hearing until (date).
    (iv) The soldier has stated that he or she is not the natural parent 
of the child.
    (v) Since the soldier is not present because (give specific 
reasons), (for example, temporary duty or leave), a complete response 
cannot be made until (date).
    (vi) The soldier is no longer in this command. The commander will 
provide the soldier's new military address to the court or judge. The 
commander then will send a copy of the inquiry to the soldier's new 
commander and advise the court or judge of this action.
    (4) Furnish the soldier with a copy of the communication and the 
reply.



Sec. 584.5  U.S. citizenship determinations on children born out of 
wedlock in a foreign country.

    (a) General. (1) A child born out of wedlock in a foreign country of 
an American citizen father and an alien mother does not automatically 
gain U.S. citizenship. The child must first be legally acknowledged by 
the father. Marriage to the mother may be required in order for the 
child to acquire U.S. citizenship. The father also must establish that 
he had at least 10 years of physical presence in the United States prior 
to the child's birth. Five of those years must have been spent in the 
United States after the father's 14th birthday. United States military 
service counts as physical presence in the United States. (See 8 U.S.C. 
1101(c)(1), 1401(g), and 1409(c).) Whether the child gains the 
citizenship of its mother depends entirely upon the laws of the nation 
in which she is a citizen.
    (2) A child born out of wedlock in a foreign country to an American 
citizen mother and an alien father or U.S. Citizen father gains U.S. 
citizenship at birth if the mother had been physically present in the 
United States for a continous period of 1 year prior to the child's 
birth. (See 8 U.S.C. 1409(c).) The child will gain the citizenship of 
the father only if the laws of the nation of which the father is a 
citizen so provide.
    (b) Procedures for claiming U.S. citizenship rights. (1) A father 
desiring rights of U.S. citizenship for a foreign-born child must 
legally acknowledge the child as his own and prepare a case file. Each 
case is decided on its own merits. The Department of State, if the child 
is in a foreign nation, or the Immigration and Naturalization Service 
(INS), if the child is in the United States, will make the decision. 
Documents that may be important in supporting a citizenship 
determination are listed below:
    (i) Proof of father's citizenship. This may consist of any of the 
following:
    (A) A certified copy of his birth certificate (with a raised seal of 
the registrar of births).
    (B) A report of birth abroad (FS Form 240 (Report of Birth Abroad of 
a Citizen of the United States)).
    (C) A certificate of citizenship.
    (D) A certificate of naturalization.
    (E) A valid U.S. Passport.

[[Page 487]]

    (F) A certified copy of an approved U.S. passport application.
    (G) Any secondary evidence acceptable by the State Department or 
INS.
    (ii) Affidavit of paternity.
    (iii) Proof of presence in the foreign country at time of 
conception. (This information can be extracted from the passport, DA 
Form 2-1 (Personnel Qualification Record--Part II), etc.).
    (iv) Child's birth certificate.
    (v) Proof of the father's physical presence in the United States for 
10 years (5 after age 14).
    (vi) Blood type tests of the mother, the father, and the child. (At 
the request of the examining officer.)
    (vii) Two sworn affidavits (at the request of the examining officer) 
from individuals who personally knew the mother, father, and child at 
the time of birth and can identify the child.
    (viii) A copy of a certified English translation of all needed legal 
documents that are in a foreign language.
    (ix) An executed passport application with three signed pictures of 
the child.
    (2) The soldier may consult a legal assistance attorney for help in 
preparing the case file. The case file should be taken to the nearest 
American Embassy, Consulate General, or Consulate in the country where 
he and his child live. If the father is not present in the country where 
the child lives, he will do one of the following--
    (i) Take the necessary documents to the nearest American Embassy, 
Consulate General, or Consulate.
    (ii) Mail the documents to the Department of State, ATTN: Office of 
Citizens Consular Service, WASH DC 20520. That office, in conjunction 
with the American Consul abroad, will decide if the child is a U.S. 
citizen.
    (3) If both father and child are within the United States, a 
decision of citizenship status can be obtained from the INS. The soldier 
should file Form N-600 (Application for Certificate of Citizenship) at 
the nearest INS office. This form can be obtained from the INS. The 
appendix of AR 608-3 lists the location of INS offices.
    (4) Any soldier who claims to be a U.S. citizen has the burden of 
proving that claim to the Department of State or INS, as applicable.



Sec. 584.6  Procedures governing nonactive duty or discharged personnel.

    (a) Procedures governing nonactive duty personnel. (1) Nonsupport 
complaints and paternity claims against former soldiers or other not on 
active duty will be sent to the Commander, U.S. Army Reserve Components 
Personnel and Administration Center (RCPAC), ATTN: DARC-PSE-VS, 9700 
Page Boulevard, St. Louis, MO 63132-5200.
    (2) After RCPAC verifies the status, the following officials will 
act as prescribed below:
    (i) Chief, National Guard Bureau, WASH DC 20310-2500, for members of 
the Army National Guard.
    (ii) The area commander concerned for Ready Reservists assigned to 
troop program units under his or her control. (See AR 140-1, para 1-6.)
    (iii) Commander, RCPAC for nonunit members assigned to Control 
Groups of the Ready Reserve, Standby Reserve, and Retired Reserve.
    (3) The officials cited above will ensure that correspondence 
claiming nonsupport or paternity is delvered to the person concerned, 
using military channels. When the correspondence cannot be delviered 
through military channels, it will be sent to the last known mailing 
address of the person by certified mail (PS Form 3811 (Return Receipt, 
Registered, Insured and Certified Mail)). It should be marked ``Return 
Receipt Requested--Deliver to Addressee Only.'' This form is available 
at U.S. post offices.
    (4) After delivery of correspondence, the responsible official will 
advise the complainant or claimant--
    (i) Of the date and method of delivery.
    (ii) That the military department does not control the personal 
affairs of nonactive duty personnel. These personnel usually are in a 
civilian status and are not subject to military discipline. Therefore, 
the matter has been left to the person's discretion.
    (iii) Of the person's mailing address only if the conditions in 
Sec. 584.6(c) are met.
    (b) Procedures governing discharged personnel. Nonsupport complaints 
or paternity claims against persons who

[[Page 488]]

have been discharged from the Service will be sent to RCPAC. These 
persons do not hold any military status whatsoever. Commander, RCPAC 
will return the correspondence and all accompanying documentation and 
advise the complainant or claimant--
    (1) That the person is no longer a member of the Army or the Reserve 
Components.
    (2) Of the date of discharge.
    (3) That the Army no longer has control or authorty over the 
discharged member. Therefore, the Army can take no further action in the 
matter.
    (4) Of the person's mailing address only if the conditions in Sec. 
584.6(c) are met.
    (c) Conditions for disclosing mailing address. Nonactive duty and 
discharged personnel's mailing addresses will not be disclosed except 
for one of the following reasons:
    (1) The person consents in writing to the release of his or her 
address.
    (2) The complainant or claimant sends a court order directing the 
release of the address.
    (3) Any other reason that does not constitute a violation of the 
Privacy Act of 1974.
    (d) Retired personnel. (1) Court orders for garnishment or 
attachment of pay of retired persons will be sent to USAFAC.
    (2) The complainant or claimant will be advised that correspondence 
may be sent to the retired member as follows:
    (i) Place correspondence in a stamped envelope with retired member's 
name typed or printed on the envelope.
    (ii) Place stamped envelope in a second envelope and send to the 
Commander, RCPAC, ATTN: DARC-PSE-VS, 9700 Page Boulevard, St. Louis, MO 
63132-5200.
    (3) Commander, RCPAC will send the correspondence to the retired 
member but cannot release the address under the provisions of the 
Privacy Act of 1974.



Sec. 584.7  Basic allowance for quarters.

    (a) Eligibility. (1) Soldiers entitled to basic pay, who have family 
members, are entitled to BAQ at the rates prescribed for soldiers ``with 
dependents'' under certain conditions. The Department of Defense 
Military Pay and Allowances Entitlements Manual (DODPM) governs 
entitlements. (See DODPM, part 3, chap 2.)
    (2) Soldiers may receive BAQ at the ``with dependents'' rate as long 
as they pay at least the difference between BAQ at the with- and 
without-dependents rate each month in support of their families. (See 
DODPM, part 3.) This is so even if a divorce decree or court order is 
silent on support or releases the soldier from the responsibility of 
supporting the family. (See Sec. 584.2(f)(2).) Normally, a soldier is 
not entitled to BAQ on behalf of a former spouse or stepchildren after 
the divorce. BAQ at the ``with dependents'' rate is not authorized when 
the soldier or the supported family is residing in Government family 
quarters. Also, if two soldier member-parents are supporting the same 
child, only one soldier member is entitled to BAQ at the ``with 
dependents'' rate.
    (b) False claims. BAQ at the ``with dependents'' rate is not payable 
to soldier who are not supporting their families. Cases involving 
alleged failure or refusal of soldiers to pay at least the difference 
between BAQ at the with- and without-dependents rate for the support of 
family members will be referred to the proper FAO after investigation. 
Nonsupport of family members for whom BAQ is claimed may result in--
    (1) Collection of BAQ received but not given to the family members.
    (2) Stoppage of BAQ at the ``with dependents'' rate.
    (3) Punitive or administrative action against a soldier for--
    (i) Violating the minimum support requirements of this regulation.
    (ii) Submitting a fraudulent claim for BAQ based on false 
information.
    (c) Forfeiture of BAQ. Forfeiture of the ``with dependents'' portion 
of BAQ does not relieve the soldier of the obligation to support family 
members as set up in this regulation.
    (d) BAQ entitlements versus Army minimum support requirements Terms 
for entitlements to BAQ are set forth in DODPM, part 3, chapter 2. 
Except as provided in this regulation, BAQ entitlements have no 
relationship to Army minimum support requirements.

[[Page 489]]



Sec. 584.8  Garnishment.

    (a) General. (1) Pub. L. 93-647 (42 U.S.C. 659) permits garnishment, 
attachment, or assignment of Federal wages and retirement payments to 
enforce court-ordered child support and alimony obligations that are in 
arrears. It includes foreign court orders when--
    (i) Required by treaty or international agreement. (A soldier is 
subject to garnishment for child support issued by the FRG only while 
physically stationed in Germany.)
    (ii) Recognized by a court of competent jurisdiction. Applicable 
State laws govern legal procedures to be used by complainants. 
Jurisdictional or procedural challenges to garnishment actions remain 
the responsibility of individual members.
    (2) In the absence of State law more favorable to the soldier, 15 
U.S.C. 1673 limits the amount of pay that can be garnisheed as follows:
    (i) Fifty percent of disposable pay when a soldier is supporting a 
spouse or dependent child who is not the subject of the support order. 
(See Sec. 584.8(a)(3) for an explanation of disposable pay.)
    (ii) Sixty percent of disposable pay when a soldier is not 
supporting such spouse or dependent child.
    (iii) An additional 5 percent in each of the above cases if payments 
are more than 12 weeks overdue.
    (3) The items of pay listed in Sec. 584.8(a)(3)(i) are subject to 
garnishment except for amounts deducted for the items listed in Sec. 
584.8(a)(3)(ii).
    (i) Items of pay and bonus subject to garnishment.
    (A) Basic pay.
    (B) Special pay (including enlistment and reenlistment bonuses).
    (C) Incentive pay.
    (D) Inactive duty training pay.
    (E) Academy officials pay (except personal money allowances).
    (F) Accrued leave payments (basic pay portion only).
    (G) Retired and retainer pay.
    (H) Lump-sum Reserve bonus.
    (I) Separation payments (readjustment pay and severance pay).
    (ii) Deductions not subject to garnishment.
    (A) Federal income tax withholding.
    (B) State income tax withholding.
    (C) Servicemen's Group Life Insurance.
    (D) Social Security taxes (Federal Insurance Contributions Act).
    (E) United States Soldier's and Airmen's Home.
    (F) Survivor Benefit Plan.
    (G) Retired Servicemen's Family Protection Plan.
    (H) Indebtedness to the United States and delinquent Federal taxes.
    (I) Fines and forfeitures ordered by a court-martial or commander.
    (b) USAFAC procedures. The USAFAC will process most garnishment 
orders. Unless the order is contrary to Federal law or the laws of the 
jurisdiction from which it was issued, the soldier's pay will be 
garnished per the court order. Garnishment orders will be sent by 
certified or registered mail to the Commander, USAFAC, ATTN: FINCL-G, 
Indianapolis, IN 46249-0160. However, all legal process issued by German 
courts will be processed under DODPM, section 70710, when the soldier is 
stationed in the FRG. The documents must expressly state they pertain to 
child support or alimony. Also, the name and social security number 
(SSN) of the soldier must be included. The submission of a divorce 
decree or support order alone is not enough, as a garnishment order is 
required.



Sec. 584.9  Involuntary allotments.

    (a) General. Pub. L. 97-248 (42 U.S.C. 665) permits involuntary 
allotments from pay and allowances of soldiers on active duty as child, 
or child and spousal, support payments when--
    (1) The soldier has failed to make payments under a court order for 
2 months or in a total amount equal to or in excess of the support 
obligations for 2 months.
    (2) Failure to make such payments is established by notice from an 
authorized person to the Commander, USAFAC, ATTN: FINCL-G, Indianapolis, 
IN 46249-0160. An authorized person is--
    (i) Any agent or attorney of any State having in effect a plan 
approved under part D of title IV of the Social Security Act (42 U.S.C. 
651-664), who has the duty or authority under the plan to seek recovery 
of any amounts

[[Page 490]]

owed as child or child and spousal support (including, when authorized 
under a State plan, any official of a political subdivision).
    (ii) A court or agent of the court that has authority to issue an 
order against the soldier for the support and maintenance of a child.
    (3) Such notice must give the soldier's full name and SSN. Also, it 
must list the name and address of the person to whom the allotment is 
payable. The amount of the allotment will be the amount needed to comply 
with the support order. The allotment may include arrearages as well as 
amounts for current support if provided for in the support order. A copy 
of this must be included with the notice. If proper, a statement must be 
included that the support allotment qualifies for the additional 5 
percent in excess of the maximum percentage limitations. These 
limitations are prescribed in 15 U.S.C. 1673. Also, a copy of the 
underlying support order must be included with the notice. An allotment 
under this provision will be adjusted or discontinued only upon notice 
from an authorized person.
    (b) Procedures. No action will be taken to set up an allotment until 
the soldier has the chance to consult a legal assistance attorney. The 
purpose of the meeting is to discuss the legal and other factors 
involved with respect to the soldier's support obligation and failure to 
make payments. If the soldier has not consulted with legal counsel, the 
allotment will start the first end-of-month payday after 30 days have 
elapsed since notice was given to the affected soldier.

                    Appendix A to Part 584--Reference

                    Section I--Required Publications

AR 340-17
    Release of Information and Records from Army Files. (Cited in Sec. 
584.1(f)(2).)
AR 340-21
    The Army Privacy Program. (Cited in Sec. 584.1(f)(2).)
AR 600-37
    Unfavorable Information. (Cited in Sec. Sec. 584.1(d)(5)(viii)(B) 
and 584.2(l)(5).)
AR 640-3
    Identification Cards, Tags, and Badges. (Cited in Sec. Sec. 
584.2(l)(1)(v) and 584.3(c)(3)(v).)
Misc Pub 13-1
    DOD Military Pay and Allowances Entitlements Manual. (Cited In 
Sec. Sec. 584.7a, 584.7(d) and 584.8(b).)
Uniform Code of Military Justice
    (Cited In Sec. Sec. 584.1(d)(5), 584.2(g)(4)(ii), 
584.2(l)(2)(v)(B), and 584.3(b)(1)(ii).)

                    Section II--Related Publications

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

AR 11-2
    Internal Control Systems
AR 20-1
    Inspector General Activities and Procedures
AR 140-1
    Mission, Organization, and Training
AR 340-2
    Maintenance and Disposition of Records for TOE Units and Certain 
Other Units of the Army.
AR 340-18
    The Army Functional Files System
AR 600-240
    Marriage in Oversea Commands
AR 601-280
    Army Reenlistment Program
AR 608-3
    Naturalization and Citizenship of Military Personnel and Dependents
AR 608-61
    Application for Authorization to Marry Outside of the United States
AR 635-100
    Officer Personnel (Separations)
AR 635-200
    Enlisted Personnel (Separations)
Misc Pub 8-1
    Joint Travel Regulations, Volume 1: Members of the Uniformed 
Services

                      Section III--Prescribed Forms

DA Form 5459-R
    Authorization to Release Information from Army Records on 
Nonsupport/Child Custody/Paternity Complaints. (Cited in Sec. Sec. 
584.1(d)(5)(iv)(B), 584.1(f)(1), 584.2(1)(2)(iv), and 584.3(b)(2)(ii).)
DA Form 5460-R
    Request for Help in Receiving Support and/or Identification Cards 
for Family Members. (Cited in Sec. 584.2(1).)

                      Section IV--Referenced Forms

DA Form 2-1
    Personnel Qualification Record-Part II
DA Form 2029-R
    Application for Authorization to Marry Outside of the United States
FS Form 240
    Report of Birth Abroad of a Citizen of the United States
Form N-600
    Application for Certificate of Citizenship

[[Page 491]]

PS Form 3811
    Return Receipt, Registered, Insured, and Certified Mail

                                Glossary

                        Section I--Abbreviations

ARNGUS
    Army National Guard of the United States
BAQ
    Basic allowance for quarters
DA
    Department of the Army
DOD
    Department of Defense
DODPM
    Department of Defense Military Pay and Allowances Entitlements 
Manual
FAO
    Finance and accounting office
FRG
    Federal Repubic of Germany
HQDA
    Headquarters, Department of the Army
ID cards
    Identification cards
IG
    Inspector general
INS
    Immigration and Naturalization Service
RCPAC
    U.S. Army Reserve Components Personnel and Administration Center
SJA
    Staff Judge Advocate
SSN
    Social Security Number
UCMJ
    Uniform Code of Military Justice
USACFSC
    U.S. Army Community and Family Support Center
USAFAC
    U.S. Army Finance and Accounting Center
USAR
    U.S. Army Reserve
VHA
    Variable Housing Allowance

                            Section II--Terms

                                Arrearage

    The total amount of money a soldier owes a family member for prior 
months in which the soldier failed to comply with the minimum support 
requirements of this regulation.

                      Basic Allowance for Quarters

    An amount of money prescribed and limited by law that a soldier 
receives to pay for quarters not provided by the Government.

                         Child Custody Complaint

    A written or oral complaint by a family member, or a third party 
acting on behalf of a family member, that alleges that the soldier is 
violating a court order granting custody of minor children to someone 
other than the soldier. It also includes a complaint by a mother of a 
child born out of wedlock against a soldier father who has abducted or 
detained the child.

                               Court Order

    As used in this regulation, court order includes all judicial and 
administrative orders and decrees, permanent and temporary, granting 
child custody, directing financial support, and executing paternity 
findings. It also includes any foreign nation court or administrative 
order recognized by treaty or international agreement. Court orders are 
presumed valid in the absence of evidence to the contrary.

                              Family Member

    For the purpose of this regulation only, a family member includes--
    a. A soldier's present spouse. (A former spouse is not a family 
member. However, except as otherwise indicated, the term ``family 
member'' includes any former spouse for whom the soldier is required by 
any court order to provide financial support.)
    b. A soldier's minor children from present and former marriages, 
including children legally adopted by the soldier. (A family member does 
not include the child of a soldier who has been legally adopted by 
another person.)
    c. Minor children born out of wedlock to--
    (1) A woman soldier.
    (2) A male soldier if evidenced by a decree of paternity identifying 
the soldier as the father and ordering the soldier to provide support.
    d. Any other person (for example, parent, stepchild, etc.) for whom 
the soldier has an obligation to provide financial support under the law 
of the domicile of either the soldier or the supported person.

                       Financial Support Provision

    The provision in a court order or separation agreement directing the 
soldier to provide financial support to a family member on a periodic 
basis.

                       Government Family Quarters

    Any sleeping accommodations or family-type housing owned or leased 
by the U.S. Government.

                                Gross Pay

    For support purposes, gross pay includes basic pay and allowances to 
include special, incentive, and other pay when received on a monthly 
basis. Gross pay does not include funds not received on a monthly basis 
(that is, enlistment and reenlistment bonuses and

[[Page 492]]

accrued leave payments). Gross pay does not include wages from off-duty 
employment.

                        Legal Assistance Attorney

    Army lawyers designated to advise and assist soldiers and their 
families on family law matters. Such matters include marriage, divorce, 
adoption, paternity, child custody problems, and support obligations. In 
the context of this regulation, a legal assistance attorney also 
includes a lawyer retained by a soldier at his or her own expense.

                             Minor Children

    Unmarried children under 18 years of age who are not on active duty 
with the Armed Forces.

                          Nonsupport Complaint

    A written or oral complaint by a family member, or a third party 
acting on behalf of a family member, that alleges one of the following:
    a. Soldier is providing no financial support.
    b. Soldier is providing insufficient financial support.
    c. Soldier is failing to comply with--
    (1) An oral agreement,
    (2) A written support agreement, or
    (3) A court order that sets up a financial support requirement.

                                 Soldier

    As used in this regulation, the term soldier includes commissioned 
officers, warrant officers, and enlisted personnel.

                          Staff Judge Advocate

    The chief legal officer and his or her staff who advise commanders 
on laws and regulations affecting the command. Includes command judge 
advocates and post judge advocates, but not legal assistance attorneys 
or attorneys assigned to the Trial Defense Service.

                            System of Records

    Any record under DA control from which information is retrieved by 
the name of the individual or by his or her SSN.

                       Variable Housing Allowance

    An amount of money prescribed by law that a soldier receives to 
defray high housing costs in the continental United States.

                        Written Support Agreement

    Any written agreement between husband and wife in which the amount 
of periodic financial support to be provided by the soldier spouse has 
been agreed to by the parties. A written support agreement may be 
contained in a separation agreement or property settlement agreement. 
Also, the support agreement may be shown by letters exchanged between 
the parties in which the amount of support has been agreed to by the 
parties.



PART 589_COMPLIANCE WITH COURT ORDERS BY PERSONNEL AND COMMAND SPONSORED 
FAMILY MEMBERS--Table of Contents




Sec.
589.1 Definitions.
589.2 Policy.
589.3 Applicability.
589.4 General.

    Authority: Public Law 100.456 and 10 U.S.C., 814.

    Source: 55 FR 47042, Nov. 8, 1990, unless otherwise noted.



Sec. 589.1  Definitions.

    (a) Court. Any judicial body in the United States with jurisdiction 
to impose criminal sanctions of a DoD member, employee, or family 
member.
    (b) DoD Employee. A civilian employed by a DoD Component, including 
an individual paid from nonappropriated funds, who is a citizen or 
national of the United States.
    (c) DoD Member. An individual who is a member of the Armed Forces on 
active duty and is under the jursidiction of the Secretary of a Military 
Department, regardless whether that individual is assigned to duty 
outside that Military Department.



Sec. 589.2  Policy.

    (a) This part (chapter) implements procedural guidance in Department 
of Defense Directive 552 5.9, ``Compliance of DoD members, employees, 
and family members outside the United States with court orders.'' This 
guidance applies to all soldiers and Department of the Army and 
Nonappropriated Fund (NAF) civilian employees serving outside the United 
States, as well as to their command sponsored family members.
    (b) DODD 5525.9 requires DoD cooperation with courts and federal, 
state, and local officials in enforcing court orders pertaining to 
military personnel and DoD employees serving outside the United States, 
as well as their command sponsored family members, who--
    (1) Have been charged with or convicted of any felony.

[[Page 493]]

    (2) Have been held in contempt of a court for failure to obey a 
court order, or
    (3) Have been ordered to show cause why they should not be held in 
contempt for failing to obey a court order.

This guidance does not affect the authority of Army officials to 
cooperate with courts and federal, state, or local officials, such as is 
currently described in Army Regulation 27-3, Legal Services, Army 
Regulation 190-9, Military Absentee and Deserter Apprehension Program, 
and Army Regulation 608-99, Family Support, Child Custody, and 
Paternity, in enforcing orders against soldiers and employees in matters 
not discussed below. The guidance below does not authorize Army 
personnel to serve or attempt to serve process from U.S. courts on 
military or DoD employees overseas. (See also AR 27-40, Litigation, 
paragraph 1-7.)



Sec. 589.3  Applicability.

    This section applies to the following personnel:
    (a) Army personnel on active duty or inactive duty for training in 
overseas areas. This includes the National Guard when federalized.
    (b) Department of the army civilian employees, including 
Nonappropriated Fund Instrumentalities (NAFI) employees.
    (c) Command sponsored family members of Army personnel or Department 
of the Army civilian employees.



Sec. 589.4  General.

    (a) Courts of federal, state, or local officials desiring to 
initiate a request for assistance pursuant to this section must forward 
the request, with appropriate court orders, as follows:
    (1) For soldiers and members or their family, to the soldier's unit 
commander of Office, Deputy Chief of Staff for Personnel (ODCSPER), 
ATTN: DAPE-MP (703-695-2497); and
    (2) For Department of the Army civilian employees and members of 
their family, to the servicing civilian personnel office for the 
employee's command, or ODCSPER, ATTN: DAPE-CPL, (703-697-4429).
    (3) Nonappropriated Fund (NAF) employees and members of their 
family, to the servicing civilian personnel office for the employee's 
command, or ODCSPER, ATTN: CFSC-HR-P (703-325-9461).
    (b) Upon receipt of such requests for assistance concerning courts 
orders described in paragarph (a) of this section and AR 190-9, 
commanders/supervisors, with the advice of their servicing Judge 
Advocates and legal advisors, will take action as appropriate as 
outlined below:
    (1) Determine whether the request is based on an order issued by a 
court of competent jurisdiction. An ``order issued by a court of 
competent jurisdiction'' is an order that appears valid on its face and 
is signed by a judge.
    (2) If the order appears valid on its face and is signed by a judge, 
attempt to resolve the matter in a timely manner to the satisfaction of 
the court without the return of, or other action affecting, the soldier, 
Army civilian employee, or family member. Due regard should be given to 
mission requirements, applicable international agreements, and ongoing 
DoD investigations or courts-martial.
    (3) If the matter cannot be resolved, afford the subject of the 
court order a reasonable opportunity to provide evidence of legal 
efforts to resist the court order or otherwise show legitimate cause for 
noncompliance. If it is determined that efforts to provide such evidence 
or to show cause for noncompliance warrant a delay in taking further 
action, a request for delay, not to exceed 90 days, must be sought from 
the Secretary of the Army. Such requests, fully setting forth the 
reasons justifying delay and the estimated delay necessary, will be 
forwarded within 30 days directly to ODCSPER, ATTN: DAPE-MP (for 
military personnel and their family members or ODCSPER, ATTN: DAPE-CPL 
(for Army civilian employees and their family members) or ODCSPER, ATTN: 
CFSC-HR-P (for NAF employees and their family members). These offices 
must promptly forward the request for delay to the Assistant Secretary 
of Army (Manpower and Reserve Affairs) ASA(M&RA), for approval. If a 
delay is approved, ASA(M&RA) will promptly notify the Assistant 
Secretary of Defense (Force Management and Personnel) ASD

[[Page 494]]

(FM&P), copy furnished General Counsel, Department of Defense (GC, DOD).
    (4) If one, the matter cannot be resolved, and two, it appears that 
noncompliance with the request to return the soldier, or to take other 
action involving a family member or DA or NAF employee is warranted by 
all the facts and circumstances of the particular case, and three, the 
court order does not pertain to any felony or to a contempt involving 
the unlawful or contemptuous removal of a child from the jurisdiction of 
the court or the custody of a parent or another person awarded custody 
by court order, the matter will be forwarded, for soldiers or their 
family members to the soldier's general court-martial convening 
authority or, for army civilian or NAF employees or their family 
members, to the fairest general officer or civilian equivalent in the 
employee's chain of command, for a determination as to whether the 
request should be complied with. In those cases in which it is 
determined that noncompliance with the request is warranted, copies of 
that determination will be forwarded directly to the appropriate office 
noted in Sec. 589.4(b)(3) and to HQDA, DAJA-CL, pursuant to chapter 6, 
AR 190-9.
    (5) If one, the matter cannot be resolved, and two, it appears that 
noncompliance with the request to return the soldier, or to take other 
action involving a family member of DA or NAF employee, is warranted by 
all the facts and circumstances of the particular case, and three, the 
court order pertains to any felony or to a contempt involving the 
unlawful or contemptuous removal of a child from the jurisidiction of a 
court or the custody of a parent or another person awarded custody by 
court order, a request for exception to policy will be forwarded 
directly to the appropriate office listed in Sec. 589.3(b)(3) with an 
information copy to HQDA, DAJA-AL, within 30 days unless a delay has 
been approved by ASA(M&RA). The offices listed in Sec. 589.3(b)(3) must 
forward the request for an exception promptly through ASA(M&RA) to 
ASD(FM&P) for decision, copy furnished to General Counsel, DOD.
    (6) All actions, whether to invoke the DOD Directive or not, must be 
reported promptly to ASD(FM&P) and General Counsel, Department of 
Defense. See also DOD Directive 5525.9, paragraph E.3.c.
    (c) If requests for military personnel cannot be resolved without 
return of the individual, and denial of the request as outlined in this 
section is not warranted, the individual will be ordered pursuant to 
section 721, Public Law 100-456 and DODD 5525.9 to the appropriate U.S. 
part of entry at government expense, provided the federal, state, or 
local authority requesting the individual provides travel expenses 
including a prepaid transportation ticket or equivalent and an escort, 
if appropriate, from the port of entry to the appropriate jurisdiction. 
Absent unusual circumstances, requesting parties will be notified at 
least 10 days before the individual is due to return. Guidance 
concerning use of military law enforcement personnel to effect the 
return of military personnel to U.S. civil authorities may be obtained 
from the U.S. Army Military Policy Operations Agency (MOMP-O).
    (d) In accordance with DoD policy, military personnel traveling 
pursuant to a contempt order or show cause order, as described in this 
part and in AR 614-XX is entitled to full transportation and per diem 
allowances. However, this does not alleviate the requesting parties' 
requirement to pay travel expenses from the appropriate U.S. port of 
entry. Any travel expenses received from the requesting party must be 
deducted from the soldier's entitlement to travel and per diem 
allowances. The soldier will be returned in a temporary duty (TDY) 
status, unless a permanent change of station (PCS) is appropriate.
    (e) If requests for Army civilian and NAF employees cannot be 
resolved and denial of the request as outlined in this section is not 
warranted, the individual will be strongly encouraged to comply with the 
court order. Failure to comply with such orders by an Army civilian or 
NAF employee, if all criteria are met, is a basis for withdrawal of 
command sponsorship and adverse action against the employee, to include 
removal from federal service. Proposals to take disciplinary/adverse 
actions

[[Page 495]]

must be coordinated with the appropriate civilian personnel office (CPO) 
and the servicing Judge Advocate or legal advisor and forwarded for 
approval to the first general officer or civilian equivalent in the 
employee's chain of command. A copy of the final action taken on the 
case must be forwarded to HQDA, ATTN: DAPE-CPL, or ATTL: CFSC-HR-P (for 
NAF employees).
    (f) If the request is based upon a valid court order pertaining to a 
family member of a soldier or Army civilian or NAF employee, the family 
member will be strongly encouraged to comply with the court order if 
denial of the request as outlined in this part is not warranted. Unless 
the family member can show legitimate cause for non-compliance with the 
order, considering all of the facts and circumstances, failure to comply 
may be basis for withdrawal of command sponsorship.
    (g) Failure of the requesting party to provide travel expenses for 
military personnel as specified in this section, is grounds to be 
recommended denial of the request for assistance. The request must still 
be forwarded through DAPE-MP and ASA(M&RA) to ASD(FM&P) for decision, 
copy furnished to General Counsel, Department of Defense.

[55 FR 47042, Nov. 8, 1990, as amended at 56 FR 371, Jan. 4, 1991]

[[Page 496]]



                        SUBCHAPTER G_PROCUREMENT



    Cross Reference: For Department of Defense Acquisition Regulations, 
see chapter 2 of title 48.

                           PART 619 [RESERVED]

[[Page 497]]



                   SUBCHAPTER H_SUPPLIES AND EQUIPMENT





PART 621_LOAN AND SALE OF PROPERTY--Table of Contents




Sec.
621.1 Loan of Army/Defense Logistics Agency (DLA) owned property for use 
          at national and State conventions.
621.2 Sales of ordnance property to individuals, non-Federal government 
          agencies, institutions, and organizations.
621.3 [Reserved]
621.4 Issues, loans, and donations for scouting.

    Authority: Pub. L. 81-193; 10 U.S.C. secs. 2574, 4308, 4506, 4507, 
4627, and 4655, and Pub. L. 92-249.

    Source: 44 FR 5651, Jan. 29, 1979, unless otherwise noted.

    Editorial Note: For figures referred to in this part, see 42 FR 
43807, Aug. 31, 1977.



Sec. 621.1  Loan of Army/Defense Logistics Agency (DLA) owned property 
for use at national and State conventions.

    (a) General. This section--
    (1) Prescribes procedures for loan of Army-owned property to 
recognized National Veterans' Organizations for National or State 
conventions as authorized by Pub. L. 81-193.
    (2) Request for loans for National Youth Athletic or recreation 
tournaments sponsored by veterans' organizations listed in the 
``Veterans Administration Bulletin 23 (ALPHA),'' will be processed by 
parent veterans' organizations.
    (3) Loans are not authorized for other types of conventions or 
tournaments.
    (b) Items authorized for loan. If available, the following items may 
be loaned for authorized veterans' organizations requirements.
    (1) Unoccupied barracks.
    (2) Cots.
    (3) Mattresses.
    (4) Mattress covers.
    (5) Blankets.
    (6) Pillows.
    (7) Chairs, folding.
    (8) Tentage, only when unoccupied barracks are not available.
    (c) Requests for loan. (1) Requests by authorized veterans' 
organizations for loan of authorized Government property will be 
submitted to the appropriate CONUS Army Commander of the area in which 
the convention will be held or the Commander, Military District of 
Washington (MDW) if within his area.
    (2) The tenure of loan is limited to 15 days from the date of 
delivery, except under unusual circumstances. A narrative explanation 
will be provided to support loan requests for more than 15 days 
duration.
    (3) Loan requests should be submitted by letter at least 45 days 
prior to required date, if practicable.
    (4) Requests for loans will contain the following information:
    (i) Name of veterans' organization requesting the loan.
    (ii) Location where the convention will be held.
    (iii) Dates of duration of loan.
    (iv) Number of individuals to be accommodated.
    (v) Type and quantity of equipment required.
    (vi) Type of convention, (State or National).
    (vii) Complete instructions for delivery of equipment and address of 
requesting organizations.
    (viii) Other pertinent information necessary to insure prompt 
delivery.
    (d) Responsibilities. The Army or MDW Commander will:
    (1) When the availability of personal and real property is 
determined, notify the requesting veterans' organization of the 
following:
    (i) The items and quantities available for loan and the source of 
supply.
    (ii) No compensation will be required by the Government for the use 
of real property.
    (iii) No expense will be incurred by the United States Government in 
providing equipment and facilities on loan.
    (iv) Costs of packaging, packing, transportation and handling from 
source of supply to destination and return will be borne by the 
requesting organization.
    (v) All charges for utilities (gas, water, heat, and electricity) 
based on meter readings or such other methods

[[Page 498]]

determined will be paid by the veterans' organization.
    (vi) Charges which may accrue from loan of DLA/GSA material in 
accordance with paragraph III, AR 700-49/DSAR 4140.27, and GSA Order 
4848.7 and Federal Property Management Regulations, subparagraph 101-
27.5.
    (vii) The Army will be reimbursed for any material not returned.
    (viii) Costs of renovation and repair of items loaned will be borne 
by the requesting organization. Renovation and repair will be 
accomplished in accordance with agreement between the Army Commander and 
the loanee to assure expeditious return of items.
    (ix) Transportation costs in connection with the repair and 
renovation of property will also be at the expense of the using 
organization.
    (x) Assure that sufficient guards and such other personnel necessary 
to protect, maintain, and operate the equipment will be provided by the 
loanee.
    (xi) The period of loan is limited to 15 days from date of delivery, 
except as provided for in paragraph (c) of this section.
    (xii) Any building or barracks loaned will be utilized in place and 
will not be moved.
    (xiii) Upon termination of use, the veterans' organization will 
vacate the premises, remove its own property therefrom, and turn over 
all Government property.
    (2) Specify a bond in an amount to insure safe return of real and 
personal property in the same condition as when borrowed. (In the case 
of personal property, this amount will be equal to the total value of 
the items based on current acquisition costs.)
    (i) An agreement will be executed between the Army Commander and the 
Veterans' Organization if the terms of the loan are acceptable. A sample 
loan agreement is shown at figure 7-5 of this subchapter.
    (ii) When the agreement has been executed and the bond furnished, 
requisitions will be submitted to the appropriate source of supply. 
Requisitions will indicate shipping destination furnished by the 
veterans' organization. Transportation will be by commercial bills of 
lading on a collect basis.
    (iii) Appoint a Property Book Officer to maintain accountability for 
the Government property furnished under this regulation.
    (3) Property Book Officer will:
    (i) Assume accountability from the document used in transferring 
property to the custody of the veterans' organization.
    (ii) Perform a joint inventory with the veterans' organization 
representative. Survey any shortage or damages disclosed by the joint 
inventory in accordance with AR 735-11.
    (iii) Maintain liaison with the veterans' organization during the 
period of the loan.
    (iv) Prepare, in cooperation with the veterans' organization 
representative, an inventory of property being returned. Certify all 
copies of the receipt document with the veterans' organization 
representative.
    (v) Insure the return of all property at the expense of loanee to 
the supply source or to repair facilities.
    (vi) Obtain a copy of receipted shipping document from the 
installation receiving the property.
    (vii) Determine cost and make demand on the loanee for:
    (A) Items lost, destroyed, or damaged.
    (B) Costs of repair or renovation. Estimated costs will be obtained 
from the accountable activity.
    (C) Comply with instructions contained in AR 700-49/DSAR 4140.27 in 
the application of condition A and/or B, C, and T items utilized.
    (D) Ascertain that items lost in transit are reconciled prior to 
assessing charges. Where the loss is attributable to other than the 
loanee, charges should not be borne by the borrower.
    (viii) Request payment from the loanee. Checks are to be made 
payable to the Treasurer of the United States. Upon receipt of payment, 
appropriate fiscal accounts will be credited. The Property Transaction 
Record will be closed and the Stock Record Accounts audited.
    (ix) Deposit collections in accordance with instructions contained 
in AR 37-103. In the event payment is not received within a reasonable 
period, Report of Survey Action will be initiated in accordance with AR 
735-11.

[[Page 499]]

    (x) Reimburse DLA/GSA for the cost of any repair, reconditioning 
and/or materiel not returned.



Sec. 621.2  Sales of ordnance property to individuals, non-Federal 
government agencies, institutions, and organizations.

    (a) General. This section--
    (1) Cites the statutory authority for, and prescribes the methods 
and conditions of sale of certain weapons, ammunition, and related items 
as specified herein.
    (2) Applies to all sales of weapons and related material to 
individuals, organizations, and institutions, when authorized by the US 
Army Armament Materiel Readiness Command (ARRCOM), and overseas 
commanders.
    (3) Provides that sales under this section will be limited to 
quantities of an item which authorized purchasers can put to their own 
use. It is not intended that property be sold under the provisions of 
this section for the purpose or resale or other disposition.
    (4) Does not apply to sales of property determined to be surplus. 
(See AR 755 series.)
    (b) Price. Except as noted below, when sales of the Army property 
are made and the title thereto passes from the US Government, the prices 
charged will be the standard list price contained in the SC 1305/30 
Management Data List series, plus cost of packing, crating, and handling 
and administrative charges.
    (c) Condition of sale. Provisions apply to sales under this section, 
as follows:
    (1) Sales will be made without expense to the Government.
    (i) All costs incident to sales (including packing, crating, 
handling, etc.) will be paid in advance by the purchaser.
    (ii) All costs incident to shipment (transportation, parcel post 
charges, etc.) will also be paid by the customer.
    (iii) Payment for items and charges incident to sale will be made 
only by cashier's check, certified check, bank money order, or postal 
money order made payable to the Treasurer of the United States.
    (iv) For other than items of ammunition and ammunition components, 
cash will be acceptable when consignee pickup is authorized or purchase 
is made in person.
    (2) All financial transactions will be accomplished in accordance 
with applicable Department of the Army directives and regulations. 
Moneys collected for cost of items, as well as packing, crating, and 
handling, will be deposited as an appropriate reimbursement as 
prescribed in applicable regulations.
    (3) Generally, all sales are final and, normally, the US Government 
assumes no obligation or responsibility for repair, replacement, or 
exchange, except as provided in AR 920-20. Purchasers will be so advised 
prior to making the sale. All weapons sold, however, will be safe for 
firing.
    (4) Weapons sold at standard price will be supplied with equipment. 
Weapons sold at less than standard price will be supplied less 
equipment.
    (5) Sales of specific items may be suspended at any time by the 
direction of CDR, ARRCOM.
    (d) Purchasing procedure. (1) Except as provided in paragraph (e) of 
this section, all requests originating within CONUS for the purchase of 
small arms weapons, repair parts, cleaning, preserving, and target 
material will be submitted to the Commander, ARRCOM, Rock Island, IL 
61201.
    (i) Upon approval, these items will be shipped from Army depots 
stocking such material, based upon availability of material. Customers 
will be furnished instructions for submission of remittance.
    (ii) Upon receipt of proper remittance from eligible customers 
ARRCOM will issue the necessary documents directing shipment from an 
Army depot where the items are available.
    (2) In implementing the subchapter, oversea commands should 
designate installations within the oversea command to which requests for 
purchase of ammunition and related material will be directed.
    (3) Depots shipping weapons to individuals, Director of Civilian 
Marksmanship (DCM) affiliated rifle and pistol ``clubs'', museums, 
veterans organizations, and other US Government agencies will annotate 
shipping documents with the serial number of all the weapons they ship. 
Firearms shipped will be reported to Commander,

[[Page 500]]

ARRCOM, ATTN: DR SAR-MMD-D, Rock Island, IL 61202, using DA Form 3535 
(Weapons Sales Record), DA Form 3535 may be obtained from Commander, 
Letterkenny Army Depot, ATTN: DRXLE-ATD, Chambersburg, PA 17201.
    (i) The transportation officer will ascertain estimated 
transportation costs, to include DA transportation security measures 
(costs) for shipment to destination. Such information will be 
transmitted by letter to consignee with request for acknowledgement that 
shipment will be accepted based on costs submitted.
    (ii) Shipment will not be made unless consignee agrees to accept 
shipments. Refusal to accept shipment shall be reported to ARRCOM.
    (4) CDR, ARRCOM is responsible for maintaining a record by serial 
number of all weapons reported by depot in accordance with paragraph 
(d)(3) of this section. He will establish procedures to screen purchase 
requests to insure compliance with any limitations established by this 
section.
    (e) Sales to individuals, organizations, and institutions. (1) Sales 
of small arms weapons and ammunition are limited by statute (10 U.S.C. 
4308). Such sales will be made in accordance with the provisions of this 
paragraph and with other rules and regulations approved by the Secretary 
of the Army.
    (2) Sales will be limited to M1 service rifles, either national 
match grade or service grade. Only one such rifle and spare parts for it 
will be sold to an individual. No ammunition will be sold to 
individuals.
    (3) Junior marksmanship clubs and junior marksmanship division 
affiliated within the Director of Civilian Marksmanship (DCM) pursuant 
to AR 920-20 may purchase limited quantities of .22 caliber ammunition.
    (4) The DCM will determine the maximum quantity of such ammunition 
that clubs will be permitted to purchase in each fiscal year.
    (5) Approved, non-profit summer camp organizations that are of a 
civic nature are allowed to purchase from the DCM at cost plus shipping 
and handling charges, 300 rounds of .22 caliber ammunition for each 
junior who is participating in a summer camp marksmanship program.
    (6) Requests for purchase of ammunition by marksmanship clubs and 
summer camp organizations will be submitted to the DCM for approval. If 
he approves, the application will be forwarded to ARRCOM for processing. 
If it is disapproved, it is returned to applicant with reason(s) stated 
for disapproval.
    (f) Eligibility of purchasers. In order to purchase a rifle under 
this program, an individual must:
    (1) Be a member of a marksmanship club affiliated with the DCM (AR 
920-20).
    (2) Based upon regular competitive shooting, have an established 
status as a marksman as determined by the DCM.
    (g) Purchase procedure. (1) Individuals desiring to purchase 
National Match Grade M1 service rifles will submit requests to the 
Director of Civilian Marksmanship, Department of the Army, Washington, 
DC 20314-0110. The request should contain the name and address of the 
shooting club with which the purchaser is affiliated and appropriate 
evidence of status as a competitive marksman.
    (2) Upon receipt of a request, the Director of Civilian Marksmanship 
will forward to the individual a Certificate for Purchase of Firearms in 
the suggested format at figure 5-1 to be completed, notarized and 
returned. When returned with check or arrangements for payment, the 
Certificate will be referred for appropriate verification in the records 
of US Government agencies and for other investigation as required. This 
is done to insure that the sale of a weapon to the applicant is not 
likely to result in a violation of law. The Privacy Act Statement for 
Certificate of Purchase of Firearms (figure 5-2) will be made available 
to the individual supplying data on the Certificate for Purchase of 
Firearms (suggested format, figure 5-1). Prior to requesting the 
individual to supply data on the Certificate for Purchase of Firearms 
(suggested format, figure 5-1) the Privacy Act Statement for Certificate 
will be made available to the individual concerned. (The Privacy Act 
Statement will be reproduced locally on 8x10\1/2\ inch paper.)

[[Page 501]]

    (i) A purchase application will be denied if the applicant fails to 
meet all the conditions required in the Certificate.
    (ii) If an application is denied, the applicant will be informed of 
the action and will be given an opportunity to submit additional 
information justifying approval of the application.
    (iii) If the results of the investigation are favorable, the 
application will be forwarded to ARRCOM for processing.
    (h) Marksmanship clubs affiliated with the DCM and individuals who 
are members of those clubs are authorized to purchase from the Army 
targets of types not otherwise available from commercial sources. 
Request for such purchases will be submitted to the Director of Civilian 
Marksmanship for approval and processing. Individuals who have in the 
past purchased rifles from the Army under the authority of 10 U.S.C. 
4308(a)(5), may purchase spare parts for those rifles if the parts are 
available. Requests for purchase of spare parts will be submitted to the 
Director of Civilian Marksmanship for approval. If he/she approves the 
application, she/he will forward it to ARRCOM for processing. If he/she 
disapproves the application, she/he will return it to the applicant 
stating the reasons for disapproval. Current DA transportation security 
measures for weapons will be applied under procedures contained in 
paragraphs (d)(1) (i) and (ii) of this section.
    (i) Cadets, US Military Academy. (1) When approved by the CDR 
DARCOM, the Superintendent, US Military Academy may sell to cadets upon 
graduation from the Academy those sabers which no longer meet prescribed 
standards of appearance and/or serviceability.
    (2) Application to purchase sabers under these provisions will be 
made in accordance with procedures established by the Superintendent.
    (j) Reserve Officer's Training Corps (ROTC) and National Defense 
Cadet Corps (NDCC). Supplies required by educational institution for the 
training of units and individuals of the Reserve Officer's Training 
Corps and National Defense Cadet Corps, in addition to authorized items 
normally furnished to ROTC and NDCC schools, may be sold when available 
by the activities listed in paragraph (g) of this section (10 U.S.C. 
4627). Such purchases will be in accordance with AR 145-2.
    (k) Manufacturers and designers. (1) Under the provisions of 10 
U.S.C. 4506, the Secretary of the Army is authorized to sell to 
contractors or potential contractors such samples, drawings, and 
manufacturing and other information as he considers best for national 
defense. Procedures for such sale are contained in APP 13-1502.
    (2) Under the provisions of 10, U.S.C. 4507, the Secretary of the 
Army may sell to designers who are nationals of the United States, 
serviceable ordnance and ordnance stores necessary in the development of 
designs for the Armed Forces. Designers will submit application to 
purchase to the appropriate Commodity Command.
    (3) If any item normally requiring demilitarization pursuant to the 
Defense Disposal Manual (DoD 4160.21-M) and the AR 755-series is sold, a 
special condition of sale will prohibit further disposition by the 
purchaser without prior approval of the Deputy Chief of Staff for 
Logistics, Department of the Army.
    (l) Sales of individual pieces of U.S. armament for sentimental 
reasons. Under the provisions of 10 U.S.C. 2574, individual pieces of 
U.S. armament, which are not needed for their historical value and can 
be advantageously replaced, may be sold at a price not less than cost 
when there exists for such sale sentimental reasons adequate in the 
judgment of the Secretary of the Army.
    (m) Method of sale. (1) Applications to purchase under the 
provisions of this act will be submitted to Deputy Chief of Staff for 
Logistics, ATTN: DALO-SMS, Department of the Army, with a complete 
identification including serial number, and location of desired item, if 
known.
    (2) Approved applications for major items will be forwarded through 
Commander, U.S. Army Materiel Development and Readiness Command, ATTN: 
DRCMM-SP, to the Commander, U.S. Army Armament Materiel Readiness 
Command.

[44 FR 5651, Jan. 29, 1979, as amended at 54 FR 48097, Nov. 21, 1989]

[[Page 502]]



Sec. 621.3  [Reserved]



Sec. 621.4  Issues, loans, and donations for scouting.

    (a) General. This section provides information relative to issue, 
loan or donation of Government property to the Boy Scouts of America and 
the Girl Scouts of America.
    (b) Guidance. (1) Issues are made under the provisions of the loan 
agreement and reimbursement is made for adjusted shortages and damages.
    (2) Provisions for donations of surplus property to Scout 
organizations, including lists of classes of donable property, are 
contained in chapter III, part 3, Defense Disposal Manual (DOD 
4160.21M).
    (3) The loan of certain Army, Navy, Air Force and DLA equipment and 
the provision of transportation and other services for Jamborees is 
initially provided for by Pub. L. 92-249. Implementation on a current 
basis is made in DOD Directive 7420.1. Army implementation is provided 
as follows:
    (i) Army stock fund in paragraph 2-6b(4), AR 37-111, Working Capital 
Fund-Army Stock Fund Uniform Policies, Principles and Procedures 
Governing Army Stock Fund Operations.
    (ii) Non-stock fund in paragraph 2-18, AR 310-34, Equipment 
Authorization Policies and Criteria, and Common Table of Allowances.
    (c) Procedure. Loan agreements are mutually developed preceding the 
actual lending of the equipment. Paragraph 1-16, AR 735-5, General 
Principles, Policies and Basic Procedures, is used as the guide for 
preparation of loan agreements. Authority for commanders to participate 
in World and National Jamborees is included in paragraph (d) of this 
section; Procedure for Loan of Equipment and Providing of Transportation 
and Other Services to the Boy Scouts of America for World and National 
Jamborees is included in paragraph (j) of this section; and sample loan 
agreement to be executed by area commanders is included as figure 7-5.
    (d) World and National Boy Scout Jamborees. The Act of 10 March 1972 
(Pub. L. 92-249; 86 Stat. 62) and (86 Stat. 63) authorized the Secretary 
of Defense to lend equipment and provide transportation and other 
services to the Boy Scouts of America in support of World and National 
Jamborees. The Secretary of Defense has delegated his authority and 
responsibility for the support of Jamborees to the Secretary of the 
Army. The Commander DARCOM ATTN: DRCMM-SP has been assigned to monitor 
the program for the Secretary of the Army.
    (e) Group travel and visits. Many Scouts and Leaders will travel in 
groups and their itinerary will provide for visits to places of interest 
in CONUS en route to and from Jamborees. Such group travel may begin in 
June and extend into September and October of the Jamboree year. In 
keeping with Department of the Army policies, commanders of Army 
installations may extend an invitation to and honor requests from Scout 
groups enroute to and from the Jamboree to visit and encamp at their 
installation.
    (f) Commissary and post privileges. Installation commanders are 
authorized to provide commissary and post exchange privileges to Scout 
groups en route to and from the Jamboree for food items such as bread, 
meat, and dairy products. These privileges will be extended only to 
Scout groups which are en route to or from the Jamboree and who are 
encamped or quartered at the installation or the Jamboree site. 
Commissary and post exchange privileges extended to Scout groups while 
encamped at the Jamboree site for supply and food items will only be 
honored upon-application by officials of the Boy Scouts of America to 
supplement supplies and rations not considered adequate for American 
Scouts or Scouters.
    (g) Arrangements. Regional Scout Executives have been informed by 
the National Headquarters of the contents of this subchapter and that 
arrangements pursuant to this subchapter must be made in advance 
directly with the installation commanders. However, commanders will 
consider factors of extenuation or emergency which may preclude advance 
arrangements.
    (h) Hospitalization. Boy Scouts and Scout Leaders attending 
Jamborees are considered designees of the Secretary of the Army for the 
purpose of receiving medical care at US Army Medical facilities. The 
reciprocal rate will not

[[Page 503]]

be charged. Subsistence charges will be at the rate of $1.80 per day for 
hospitalized patients, but will not be collected locally. Each Boy Scout 
and Leader participating in Jamborees and hospitalized in Army medical 
treatment facilities will be reported to The Surgeon General, ATTN: 
DASG-SGRE-SSC, Department of the Army, Washington, DC 20314, on DD Form 
7 (Report of Treatment Furnished Pay Patients; Hospitalization Furnished 
(part A)). No local collections are authorized.
    (i) Service coordination. (1) The Departments of the Navy and the 
Air Force and the Defense Logistics Agency will assist the Department of 
the Army in providing necessary equipment, transportation, and services 
in support of the Boy Scouts of America attending Jamborees. The 
Secretary of the Army or his designee will maintain liaison, as 
appropriate, with such agencies to avoid duplication of effort.
    (2) Other departments (agencies) of the Federal Government are 
authorized under such regulations as may be prescribed by the Secretary 
(Administrator) thereof, to provide to the Boy Scouts of America (BSA), 
equipment and other services, under the same conditions and restrictions 
prescribed for the Secretary of Defense.
    (j) Procedure for loan of equipment and providing of transportation 
and other services to the Boy Scouts of America for world and national 
jamborees. Preliminary actions. (1) In accordance with the provisions of 
Pub. L. 92-249, H.R. 11738, 10 March 1972, and Secretary of Defense Memo 
of 17 May 1972, Subject: Loan of Equipment and Providing of 
Transportation and Other Services to the Boy Scouts of America for Boy 
Scout Jamborees; Memo of 23 January 1973, Subject: Military 
Transportation Support for Boy Scout Jamborees; and Memo of 19 August 
1974, Subject: Military Transportation Support for Boy Scout Jamborees, 
the DOD is authorized to lend certain items and provide transportation 
and certain other services to such Jamborees. Prior to the loan of 
property and providing transportation and other services, an appropriate 
agreement will be executed between the United States of America and the 
activity to be supported. A bond (fig. 7-6), in an amount specified by 
the Commander, DARCOM, based on statute taken by the Commander-in-Chief/
Commander, Major Army Command (MACOM), and held until termination of the 
encampment and final settelment is made for each Jamboree.
    (2) The Commander-in-Chief/Commander, MACOM designated, on behalf of 
the Commander, DARCOM, representing the Secretary of Defense will enter 
into legal arrangements with the Boy Scouts of America for the loan of 
equipment and the providing of transportation and certain other services 
for Boy Scouts World and National Jamborees. National Jamborees include 
Jamborees conducted by and within the United States and also those 
conducted by and within foreign nations.
    (3) The Commander-in-Chief/Commander, MACOM, will appoint a Property 
Book Officer who will maintain separate stock records in order to 
provide for a single final billing to the supported activity (Boy Scouts 
of America) for items consumed, lost, damaged or destroyed. The 
Department of the Army will not be billed for items obtained from other 
than Army sources, except medical supply losses. Bills for medical 
supply losses will be submitted to the US Army Area Surgeon for payment. 
He will establish liaison with the activity to be supported. The 
property book account will be established in accordance with section II, 
chapter 2, AR 710-2.
    (4) The Commander - in - Chief, MACOM, will task the Army Area 
Surgeon for Medical Supply Support to the Jamborees. Each Surgeon 
designated should appoint an accountable officer and furnish the name, 
location, and routing identifier of a project office wherein medical 
supply problems can be resolved.
    (5) The Property Book Officer is authorized direct communication 
with the source of supply, other military department liaison personnel 
and DARCOM ICP's to resolve routine supply problems.
    (k) Preparing bills of material. (1) The activity (BSA) will submit 
a list of equipment and supplies desired to the Commander-in-Chief/
Commander, MACOM. This list will be edited during

[[Page 504]]

and subsequent to preliminary conferences with representatives of the 
activity and furnished to Commander, DARCOM, ATTN: DRCMM-SP.
    (2) HQ, DARCOM will convert the informal list to a tentative Bill of 
Material and will furnish the respective Commodity Command that part of 
the Bill of Material for their items of logistical responsibility. A 
suggested format for the Bill of Material is included as figure 7-1. 
Local reproduction is authorized. Copies of the entire tentative Bill of 
Material will also be furnished to each of the military departments 
authorized to participate in the support of the encampments. The Bill of 
Material forwarded to the Commander-in-Chief/Commander, MACOM will be 
screened to determine inhouse availability prior to placing requisitions 
on CONUS supply points.
    (3) At such time as item availability information is on hand and the 
sources to be used are determined (paragraph (m) of this section, a Bill 
of Material (figure 7-1) will be prepared by HQ, DARCOM, and forwarded 
to the Commander-in-chief/Commander, MACOM.
    (4) The Bill of Material will list, by commodity command (military 
department), all items desired, identified by National Stock Number 
(NSN) description, quantity desired and required delivery date. The NSN 
will provide identification of the items required. Items will be 
identified by the Property Book Officer to the responsible commodity 
command or military department as indicated below:

(i) CERCOM.........................  1 US Army Communications and
                                      Electronics Materiel Readiness
                                      Command.
(ii) TSARCOM.......................  2 US Army Troop and Aviation
                                      Materiel Readiness Command.
(iii) ARRCOM.......................  3 US Army Armament Materiel
                                      Readiness Command.
(iv) TARCOM........................  4 U.S. Army Tank-Automotive
                                      Materiel Readiness Command.
(v) DLA............................  5 Defense Logistics Agency.
(vi) Navy..........................  N Department of the Navy.
(vii) Air Force....................  F Department of the Air Force.
(viii) Other Installations.........  A
------------------------------------------------------------------------


The Bill of Material will be screened to insure that radioactive items 
restricted for military use are not included.
    (l) Establish property transaction records. (1) A Property 
Transaction Record reflecting complete information about each item 
loaned to the activity will be established and maintained by the 
Property Book Officer (figure 7-2) and the respective commodity command 
military department (figure 7-3). Suggested formats for the Property 
Transaction Records are found in figures 7-2, 7-3, and 7-4, Local 
reproduction is authorized.
    (2) The Property Book Officer will also establish and maintain 
separate Property Transaction Records for items obtained from supply 
sources other than Army commodity commands, i.e., other Army 
installations, Department of the Navy, Department of the Air Force 
(figure 7-4).
    (3) Each entry on the Property Transaction Record will be supported 
by appropriate documentation (commodity command: copies of shipping 
documents, copies of return documents and copies of surveillance 
inspection report--Property Book Officer: Requisition voucher files and 
hand receipt cards). This is particularly important for reconciliation 
purposes in order that all property received from each source will be 
returned to that source upon termination of each encampment.
    (m) Locating and obtaining equipment and supplies. (1) The 
respective commodity commands (military departments) will screen the 
tentative Bill of Material (paragraph (k)(2) of this section) and 
determine availability and source of supply identified by Routing 
Identifier Code. They will advise HQ, DARCOM, ATTN: DRCMM--SP of 
availability, appropriate substitute items when the requested items are 
not available in sufficient quantity, and the source of supply for 
requisitioning purposes.
    (2) Concurrently, the Bill of Material will be screened within the 
MACOM to determine those items that can be obtained from assets 
available in the command.
    (3) The Property Book Officer will requisition equipment and 
supplies from the source of supply as indicated by Commander, DARCOM in 
accordance with AR 725-50 or other separately furnished instructions. 
The requisition number, quantity requisitioned, stock number and source 
of supply will be entered in the Property Transaction

[[Page 505]]

Record. Requisitions will cite the appropriate project code assigned and 
appropriate activity address code on all requisitions submitted. Project 
codes will be assigned by Commander, Logistic Systems Support Activity, 
ATTN: DRXLS-LCC, Chambersburg, PA, 17201 and distributed by message to 
all interested addressees.
    (4) Loan of General Services Administration (GSA) General Supply 
Fund Material--The Federal Property and Administrative Services Act of 
1949, as amended, authorizes the Administrator, GSA to loan GSA General 
Supply Fund Material to the Department of Defense and other federal 
agencies. Loan shall be made to the extent that items are readily 
available and that such loans will not jeopardize the GSA stock 
inventory. The loan of GSA General Supply Fund Material shall normally 
be limited to 90 Calendar days. Requisitions for GSA material should be 
submitted to the nearest GSA Regional Office by the CINC/CDR MACOM.
    (5) Formal accountability for all items shipped to the site of the 
activity will be retained by the appropriate accountable activity. 
Property and financial accounting will be in accordance with respective 
military department regulations governing loans.
    (6) The shipping depot or other source will furnish a copy of the 
shipping document to the respective commodity command (military 
department) where the quantity charged, date shipped, condition of the 
property and total value will be posted to the Property Transaction 
Record.
    (7) Upon receipt of the advance copy of the shipping document, the 
commodity command (military department) will post information to his 
Transaction Record, by source as in paragraph (l)(1) of this section.
    (8) When the shipment is received, the Property Book Officer will 
inspect the property. A narrative statement of condition will be 
prepared if condition of the property is other than that indicated on 
the shipping document and referenced to the condition entry on the 
Property Transaction Record. The source of supply, as appropriate, will 
be immediately notified of overages or shortages and verified in 
condition, as provided in chapter 8, AR 735-11. The Property Book 
Officer will enter on the shipping document the quantity actually 
received when it differs from quantity shown as shipped and will post 
the quantities received to the property book record.
    (9) Discrepancies between the quantity shipped by the depot and that 
received by the Property Book Officer and variance in condition will be 
reconciled as rapidly as possible and appropriate records will be 
brought into agreement. When shortage or damage is not attributable to 
the carrier, the Property Book Officer will immediately contact the 
responsible source of supply, furnishing the stock number and document 
number involved, together with an explanation of the discrepancy. 
Reconciliation is particularly important in order to ensure a common 
point of departure in determining charges to be assessed upon 
termination of the activity. Replacement shipments, when required, will 
be covered by appropriate shipping documents.
    (10) Special Instructions for Defense Logistics Agency, Clothing and 
Textile Items. (See DSAR 4140.27/AR 700-49).
    (n) Transportation. (1) Transportation of equipment and supplies--
The responsibility of coordinating movement of equipment and supplies 
placed on loan to the Boy Scouts of America during National and World 
Jamborees is delegated to the Commander, US Army Materiel Development 
and Readiness Command, ATTN: DRCMM-ST.
    (2) All requisitions for items in question, will cite the 
appropriate project code and will be shipped by commercial bill of 
lading on a collect basis to all National Jamborees and World Jamborees 
held in the United States.
    (3) Shipments to Boy Scout contingents at World Jamborees in foreign 
countries will be by Government bills of lading, unless otherwise 
specified by the Boy Scouts of America.
    (4) All shipments directed to Boy Scout Jamborees will be routed by 
the most feasible means as determined by the shipper. Shipments will be 
consolidated to the maximum extent possible to assure the lowest charges 
available to the Boy Scouts of America.

[[Page 506]]

    (5) Separate shipping instructions will be provided for each 
Jamboree to assure that correct consignee and railhead addresses are 
furnished.
    (6) Movement of Boy Scouts, Scouters, and officials living in the 
United States of America to a Jamboree within the United States of 
America or to a Jamboree in an oversea area shall be the responsibility 
of the Boy Scouts of America or the individuals concerned.
    (7) No authority exists under Pub. L. 92-249 for the movement of Boy 
Scouts, Scouters, and officials via military capabilities other than 
those of the Military Airlift Command or the Military Sealift Command.
    (o) Transportation by vessels of the Military Sealift Command (MSC). 
(1) The MSC does not operate any ships suitable for carriage of 
passengers on transoceanic routes. Although pertinent directives and 
Pub. L. 92-249 authorize the movement of Boy Scouts on Military Vessels, 
the MSC has no capability to provide such transportation.
    (2) The MSC is an industrial-funded organization and charges the 
military service for sealift services provided in accordance with 
established rates. The host command will be responsible to compensate 
the MSC for any equipment or material moved on MSC ships. The 
limitations inherent in Pub. L. 92-249 stipulate that transportation 
support provided will be at no cost to the Government. Under these 
directions, Boy Scout equipment or materiel is not authorized movement 
on a space available basis without prior approval of the Secretary of 
Defense. Such approval is not anticipated.
    (3) All billings for transportation provided by MSC will be 
forwarded to the appropriate Commander-in-Chief/Commander of the support 
major Army command (MACOM). Reimbursement will be requested by the MACOM 
Commander from the Boy Scouts of America.
    (p) Transportation of oversea based scouts, scouters, and other 
authorized personnel by military airlift to national or international 
jamborees. (1) Space required reimbursable transportation by Military 
Airlift Command (MAC) airlift over established MAC channels is 
authorized from points outside the Continental United States (OCONUS) to 
aerial ports within CONUS, or to other oversea locations and return. 
Such transportation will be provided only to the extent that it does not 
interfere with the requirements of military operations, and only to 
those Boy Scouts, Scouters, and officials residing overseas and 
certified by the Boy Scouts of America (BSA) as representing the BSA at 
the Jamboree. Certification by the BSA will be in the form of a letter 
identifying each such individual as their authorized representative at 
the Jamboree. This letter of authorization must be presented to the 
sponsoring overseas command.
    (2) Boy Scouts, Scouters, officials and their equipment will be 
moved after all space-required traffic, but before any space-available 
traffic.
    (3) Each passenger is authorized the normal accompanying free 
baggage allowance of 66 pounds while traveling on MAC aircraft. It is 
not contemplated that any excess baggage allowance will be authorized.
    (4) Transportation of Boy Scouts, Scouters, officials, and their 
equipment provided by MAC controlled aircraft will be reimbursed at the 
common user tariff rates assessed U.S. Government Traffic, as contained 
in AFR 76-11.
    (5) On the basis of letters of authorization issued by the BSA, the 
BSA will monitor services provided by the Department of Defense. One 
copy of each BSA letter of authorization will be forwarded to the 
Commander, US Army Materiel Development and Readiness Command, ATTN: 
DRCMM-SP, 5001 Eisenhower Avenue, Alexandria, VA 22333, for planning 
purposes. This letter of authorization should specify whether one way or 
round trip transportation is requested.
    (6) DACROM responsibilities include the following:
    (i) Compiling a passenger forecast to be submitted to MAC in 
accordance with AR 59-8/OPNAVINST 4630.18C/AFR 76-38/MCO 4630.6B.
    (ii) Providing Military Traffic Management Command (MTMC) an 
information copy of the passenger forecast.
    (iii) Submitting all passenger requirements for one way and round 
trip transportation originating overseas to the appropriate overseas 
command.

[[Page 507]]

    (7) The responsibilities of the sponsoring overseas command include:
    (i) Verifying that Scout passengers are officially authorized 
representatives of BSA in accordance with paragraph (p)(1) of this 
section.
    (ii) Making all necessary passenger reservations with MAC, for 
transportation originating overseas, in accordance with AR 55-6/AFR 76-
5/OPNAVINST 4630.23/MCO P4630.11. The oversea command will submit CONUS 
outbound return passenger requirements to Commander, Military Traffic 
Management Command, ATTN: MTMC-PTO-P, Washington, DC 20315.
    (iii) Issuing each passenger a MAC Transportation Authorization (DD 
Form 1482) for transportation from the overseas location and return, 
when round trip transportation has been requested. The customer 
identification code, item (7) of the DD Form 1482, should be 
designated--JBWJ--which was approved by MAC as the permanent CIC for 
direct billing purposes to HQ, Boy Scouts of America, North Brunswick, 
New Jersey, 08902.
    (iv) Ensuring that each Scout passenger has a completed DD Form 
1381, signed by a parent, guardian or other legally responsible 
individual.
    (v) Evaluating the use and necessity of military airlift within or 
between overseas locations. This evaluation will include such factors as 
reasonable travel time, number of connections required, and assurance of 
Scout group integrity. Surface transportation will normally be used for 
travel within an overseas area.
    (8) The responsibilities of the MTMC include:
    (i) Evaluating the return outbound passenger requirements and making 
the necessary transportation arrangements so as to maintain Scout group 
integrity at all times.
    (ii) Assisting the BSA in completing required documentation and 
insuring that passengers are ready prior to the return flight.
    (iii) Pub. L. 92-249 does not provide authorization for the use of 
the Department of Defense transportation by Scouts, Scouters, and 
Officials of foreign nations. All requests to transport such persons 
should be forwarded through the unified command channels to the Office 
of the Assistant Secretary of Defense (Public Affairs). However, DOD 
does not contemplate authorization for the use of MAC aircraft for other 
than U.S. Scouts, Scouters, and Officials.
    (iv) Use of military helicopters in support of medical evacuation, 
VIP, press and photo-services--The Director of Army Aviation, the 
Department of the Army Staff Judge Advocate, and the Comptroller of the 
Army have furnished the general opinion that Pub. L. 92-249 authorizes 
the use of Military helicopters in support of the above described 
services to the extent they are reasonably available and permits the use 
of appropriated funds.
    (q) Determination of charges and settlement. (1) All property on 
which repair cost is claimed will be held at the depot or post, camp or 
station until final charges are determined and a release is given by 
CDR, DARCOM, Department of the Army.
    (2) The commodity command (military department) will prepare the 
following information and statement, and forward them, to CDR, DARCOM, 
Department of the Army, for final review:
    (i) Complete Property Transaction Record and supporting documents.
    (ii) Proper accounts for which reimbursement received for shortages 
and repairs are to be deposited.
    (iii) The following statement: ``The losses and/or damages indicated 
on the Property Transaction Report in the amount of $------ represent 
the total claim by (appropriate commodity command or military 
department) relative to commodity command or military deparment property 
loaned to (Boy Scouts of America). Upon settlement and deposit to the 
proper account, the CDR of the commodity command or military department 
releases the (Boy Scouts of America) from further obligations.''
    (iv) Statements as to the general type of repair (e.g., tentage, 
repair tears, insert new panels, replace grommets) will be reported on 
separate addendum to the Property Transaction Record for items requiring 
repair.
    (3) The CINC/CDR, MACOM, will prepare the following information and 
statement for property furnished for

[[Page 508]]

assets in the command and will forward this to CDR, DARCOM:
    (i) Same as (q)(2)(i) of this section.
    (ii) Same as (q)(2)(ii) of this section.
    (iii) The following statement: The losses and/or damages indicated 
on the Property Transaction Record in the amount of $------ represent 
the total claim by (appropriate Army) relative to (appropriate Army) 
property loaned to (Boy Scouts of America). Upon settlement and deposit 
to the proper account, the CINC/CDR, MACOM releases the (Boy Scouts of 
America) from further obligations.
    (iv) Same as (q)(2)(iv) of this section.
    (4) CDR, DARCOM, will review the charges, inspect property to be 
repaired, if necessary, reconcile any discrepancies and determine final 
charges to be levied against the supported activity. Approved list of 
charges will be forwarded to the CINC/CDR, MACOM, for collection, and 
property being held for repair will be released.
    (5) The CINC/CDR, MACOM, will prepare and dispatch a letter to the 
supporting activity and request payment made payable to the Treasurer of 
the United States. Upon receipt of payment, collection documents will be 
prepared and appropriate fiscal accounts, as furnished by the commodity 
command (military departments) ((q)(2) and (3) of this section) 
credited. The MACOM Surgeon will take action to reimburse the DLA stock 
fund for expendable medical supply losses reported. The CINC/CDR, MACOM, 
will close the Property Transaction Record Account.
    (6) The CINC/CDR, MACOM, will advise the CDR, commodity command 
(military departments and CDR, DARCOM, DA) that settlement has been 
accomplished. Commodity command (military department) Property 
Transaction Records will be closed upon receipt of the foregoing advice.
    (7) The CDR, DARCOM will advise the CINC/CDR, MACOM, to return the 
bond to Boy Scouts of America.
    (8) In the event of unsatisfactory settlement, the proceeds of the 
bond will be used to satisy the claim. The Power of Attorney executed in 
connection with the agreement will be invoked and proceeds collected 
from the bond (fig. 7-7).



PART 623_LOAN OF ARMY MATERIEL--Table of Contents




Sec.
623.1 General.
623.2 Loan policies.
623.3 Submission of requests for loan of Army materiel.
623.4 Accounting procedures.
623.5 Loan of arms and accouterments.
623.6 Reimbursement for loan of Army materiel.
623.7 Reports.

Appendix A to Part 623--Explanation of Terms
Appendix B to Part 623--Approving Authority Addresses/Telephone Numbers
Appendix C to Part 623--Agreement for Loan of US Army Materiel (DA Form 
          4881-R)
Appendix D to Part 623--Certificate for Signature by an Alternate (DA 
          Form 4881-1-R)
Appendix E to Part 623--Surety Bond (DA Form 4881-3-R)
Appendix F to Part 623--Power of Attorney (DA Form 4881-4-R)
Appendix G to Part 623--Continental US Army Boundaries
Appendix H to Part 623--References

    Authority: 10 U.S.C. 2571; 31 U.S.C. 686; 10 U.S.C. 2667.

    Source: AR 700-131, 45 FR 62038, Sept. 18, 1980, unless otherwise 
noted.



Sec. 623.1  General.

    (a) Purpose. This part sets forth policies and procedures for loan 
of Army materiel. As used in this regulation, the term ``loan'' includes 
a lease.
    (b) Applicability. (1) This regulation applies to all Department of 
the Army (DA) agencies, commands, installations, and activities.
    (2) This regulation applies to the Army National Guard (ARNG) only 
when the procedure for the loan of equipment under the procedure of 
National Guard Regulation (NGR) 735-12 does not apply.
    (3) This regulation does not apply to loans governed by the DOD 
Military Assistance and Sales Manual, DOD 5105.38-M.
    (4) This regulation does not apply to loans governed by the Defense 
Acquisition Regulation (DAR).
    (c) Scope. This part outlines when loans of Army materiel may be 
made. It gives general procedures for requesting and processing loans, 
and sets forth

[[Page 509]]

responsibilities, including requirements for reimbursement.
    (d) Explanation of terms. (1) The terms ``loan,'' ``lease'' and 
``bailment'' are contractual terms and are frequently used 
interchangeably. They have no meaning by themselves. It is necessary to 
study the statute to see what is required. Usually, a ``loan'' is 
thought of as a short-term transfer of property, sometimes with 
reimbursement; a ``lease'' is a more formal transfer, often long-term 
and requiring a fair monetary rental; and a ``bailment'' is a loosely-
used term, generally reserved for a delivery of property to another in 
trust for the purpose of doing something to the property and then 
returning the property to the owner. The term ``issue'' is frequently 
used in the sense of a transfer of property which will be consumed in 
use. The terms ``gift,'' meaning a permanent transfer of property 
without reimbursement, and ``sale,'' meaning a permanent transfer with 
reimbursement, are outside the scope of this regulation.
    (2) For additional definitions, see appendix A.
    (3) The words ``he, him, his'' when used in this publication 
represent both the masculine and feminine genders, unless otherwise 
specifically stated.
    (e) Loan restrictions. (1) Army materiel is not normally used for 
other than the Army's primary mission; however, under conditions 
described herein materiel not immediately needed to support mission 
requirements may be loaned to--
    (i) Army and other Department of Defense (DOD) elements.
    (ii) Non-DOD Federal departments and agencies.
    (iii) Civil governments (State and local).
    (iv) Special activities, agencies, and others.
    (2) Table 2-1 lists various circumstances where loan of Army 
materiel might be requested. It identifies the applicable Federal laws 
or other authority which would authorize such loans.
    (f) Statutory authorities. There are three basic federal laws which 
authorize the loan of Army property. There are also numerous specific 
statutes which authorize particular types of loans in limited 
situations. Unless there is a reason to use the specific statute, one of 
the basic statutes will be used.
    (1) The following are the basic statutes:
    (i) 10 U.S.C. 2571--Authority for loan of property within DOD.
    (ii) 31 U.S.C. 686 (The Economy Act)--Authority for loans to other 
Federal departments and agencies.
    (iii) 10 U.S.C. 2667 (The Leasing Statute)--Authority for loans/
leases, including leases to activities outside the Federal Government.
    (2) Following are some of the specific authorizing statutes:
    (i) 10 U.S.C. 331--Federal aid for State governments as result of 
insurrection.
    (ii) 10 U.S.C. 332--Use of militia and Armed Forces to enforce 
federal authority.
    (iii) 10 U.S.C. 333--Use of militia or Armed Forces to suppress 
interference with state and federal law.
    (iv) 10 U.S.C. 2541--Loan of equipment and barracks to national 
veterans organizations.
    (v) 10 U.S.C. 2542--Loan of equipment to the American National Red 
Cross for instruction and practice.
    (vi) 10 U.S.C. 2543--Loan of equipment to US Presidential Inaugural 
Committee.
    (vii) 10 U.S.C. 2544--Loan of equipment and services to the Boy 
Scouts of America, for national and world jamborees.
    (viii) 10 U.S.C. 2572--(See AR 870-20.) Loan of books, manuscripts, 
works of art, drawings, plans, models, and condemned or obsolete combat 
materiel not needed to--
    (A) A municipal corporation.
    (B) A soldiers monument association.
    (C) A state museum.
    (D) A nonprofit incorporated museum.
    (E) Posts of Veterans of Foreign Wars of the USA.
    (F) American Legion Posts.
    (G) A local unit of any other recognized war veterans association.
    (H) A post of the Sons of Veterans Reserve.
    (ix) 10 U.S.C. 4308--Establishment and support of civilian rifle 
ranges.

[[Page 510]]

    (x) 10 U.S.C. 4311--Issue of rifles and ammunition for conducting 
rifle instruction and practice.
    (xi) 10 U.S.C. 4651--Issue of arms, tentage, and equipment to 
support educational institutions that do not have ROTC but maintain a 
course in military training prescribed by the Secretary of the Army.
    (xii) 10 U.S.C. 4652--Loan of rifles and issue ammunition for target 
practice to educational institutions having corps of cadets.
    (xiii) 10 U.S.C. 4653--Issue of ordnance and ordnance stores to 
District of Columbia high schools.
    (xiv) 10 U.S.C. 4654--Issue of quartermaster supplies at educational 
institutions that maintain a camp for military instruction of its 
students.
    (xv) 10 U.S.C. 4655--Loan of arms and issue ammunition to other 
agencies and departments of the US Government.
    (xvi) 10 U.S.C. 4656--Loan of aircraft and ancillary equipment to 
accredited aviation schools at which DA or Air Force personnel pursue 
courses of instruction.
    (xvii) 10 U.S.C. 4683--Loan of obsolete or condemned rifles and 
accouterments to local units of recognized national veterans 
organizations for certain ceremonial purposes.
    (xviii) 10 U.S.C. 4685--Loan of obsolete ordnance to educational 
institutions and state soldiers and sailors orphans' homes for purpose 
of drill and instruction.
    (xix) 32 U.S.C. 702--Issue of supplies to State National Guard.
    (xx) 33 U.S.C. 701n (Pub. L. 84-99 as amended)--Flood emergency 
preparation; emergency supplies of drinking water.
    (xxi) 33 U.S.C. 1251 et seq. (Pub. L. 92-500)--Federal Water 
Pollution Control Act.
    (xxii) 42 U.S.C. 5121 et seq. (Pub. L. 93-288)--Disaster Relief Act.
    (3) Other statutory guidance:
    (i) 10 U.S.C. 4307--Authorizes the establishment of a Director of 
Civilian Markmanship (DCM).
    (ii) 18 U.S.C. 1385--Unlawful use of Armed Forces in local law 
enforcement.
    (iii) 18 U.S.C. 3056 (as amended by Pub. L. 91-651)--Powers and 
duties of Secret Service.
    (g) Responsibilities. (1) The Commanding General (CG), US Army 
Materiel Development and Readiness Command (DARCOM), through the 
Materiel Readiness Commands' (MRC) commanders, is responsible for loans 
of materiel controlled by DARCOM wholesale supply points.
    (2) Major Army commands (MACOM) CGs and commanders in chief (CINCs) 
of unified commands (UCOMs) are responsible for loans of materiel from 
supporting units and installations.
    (3) The Director of Military Support, Office of the Deputy Chief of 
Staff for Operations (ODCSOPS), is the DOD point of contact for the 
Federal Disaster Assistance Administration (FDAA), other Federal 
agencies, and the National Red Cross in disaster assistance matters.



Sec. 623.2  Loan policies.

    (a) Loan and approval policy--(1) Basic policies. (i) Materiel is 
not loaned to non-DOD activities as a routine procedure. However, 
materiel in the Army inventory is available for loan for special 
purposes if approved. Approving authorities are listed in table 2-1; 
their addresses are in appendix B.
    (ii) Loans will be approved or disapproved based on the purpose, 
duration of the loan, and consideration of the following factors which 
can take precedence over any loan.
    (A) Military requirements and priorities.
    (B) Continuity of military operations, troop survival, and the 
rehabilitation of essential military bases.
    (C) Stocks and programed Army requirements. This includes 
prepositioned mobilization reserve stocks.
    (D) Type classification with pending changes.
    (E) Minimum diversion of Army stocks.
    (F) The adequacy of the borrower's resources. Requesters will be 
encouraged to use their own resources.
    (iii) Loan requests from civilian authorities or activities will 
normally enter Army channels at the installation or MACOM levels. If on-
post or off-

[[Page 511]]

post units receive loan requests, they will refer them to unit's 
supporting installation commander at once. Emergency loan requests will 
be relayed by telephone or electrically transmitted message.
    (iv) When routine handling of a loan request would result in loss of 
human life, grave bodily harm, or major destruction of property, and 
when the lack of communication facilities prevents use of normal 
procedures, loans otherwise permitted by this regulation can be made 
with local approval. However, normal policy should be followed to the 
extent possible. If procedural requirements cannot be fully complied 
with, they must be met as soon as possible after the loan is made.
    (v) Army materiel loaned under this part will be delivered to 
borrower ``as is, where is'' available.
    (vi) Stocks of the least serviceable condition which are still 
suitable for the loan's purpose will be used. Logistic control code 
``C'' materiel will be loaned before logistic control code ``B'' 
materiel. Logistic control code ``B'' materiel will be loaned before 
logistic control code ``A'' materiel. (Ref chap 9, AR 708-1.)
    (vii) Commanders of medical treatment facilities (MTF) are subject 
to all the requirements of this regulation, including the requirement 
for reimbursement. However, in accordance with AR 360-61 which 
implements DOD Instruction 5410.19,
    (A) Emergency loans of medical supplies (drugs, vaccines, etc.) may 
not be made without reimbursement, but the loan may not exceed 30 days 
and the medical supplies must be replaced in kind by the borrowing 
agency or activity; and
    (B) Emergency loans of medical equipment not to exceed 15 days may 
be made without reimbursement if it is the practice in the community for 
other hospitals to make such loans. Equipment loans which exceed 15 days 
must be approved, in writing, by the MACOM commander and are subject to 
all the requirements of 10 U.S.C. 2667, including reimbursement.
    (viii) Army property loaned to non-DOD activities will not be 
further loaned without approval of the original approving authority.
    (ix) There will be no procurement or redistribution of assets to 
offset the effects of loans. Material will not be set aside, earmarked, 
assembled, or stockpiled to be available for use related to loans.
    (x) Army materiel may be recalled from the borrower at any time to 
meet Army requirements.
    (xi) Stock record accounting and financial transactions for loans 
will conform with existing regulations.
    (xii) Borrowers are responsible for the care, custody, and proper 
use of materiel borrowed. Except as stated in this regulation, 
reimbursement will be required for damage, destruction, loss, fair 
depreciation in value, and for any Army repair, care, transportation, 
preservation, and protection of loaned equipment.
    (xiii) Care, renovation, and repair of borrowed materiel will 
conform with the loan agreement.
    (xiv) As indicated below, borrowers must provide signed loan 
agreements, provide surety bonds, and vehicular insurance prior to 
receipt of materiel. Loan agreements and bonds will be prepared in 
accordance with paragraphs (b) and (c) of this section.

------------------------------------------------------------------------
                                    Loan                      Vehicular
           Borrower               agreement    Surety bond    insurance
                                  required      required      required
------------------------------------------------------------------------
Army or other DOD activities..  No \1\......  No..........  No.
Non-DOD Federal departments     Yes.........  No..........  No.
 and Agencies.
Civil Authorities (State and    Yes.........  Yes \2\.....  Yes.\2\
 Local Governments).
Civilian Activities (veterans'  Yes.........  Yes.........  Yes.
 organizations, youth groups,
 etc.).
------------------------------------------------------------------------
\1\ A hand receipt or other document assigning responsibility will
  suffice.
\2\ In emergency disaster relief cases, bonds and insurance may be
  provided after receipt of the materiel. (See paragraph (a)(4) of this
  section.)

    (2) Loans to DOD organizations. Army materiel may be loaned to DOD 
activities for projects, programs, and mission requirements that support 
basic functions of the borrowing activity. Examples are field exercises, 
maneuvers, training exercises, including annual training (AT) of Reserve 
Components, and research development, test, and evaluation (RDTE).

[[Page 512]]

    (i) Loans of major end items belonging to MACOMs are approved by 
MACOM or UCOM commanders. Loans of materiel other than major end items 
are approved at commander/installation level.
    (ii) Loans of materiel belonging to DARCOM (wholesale level) are 
approved as follows:
    (A) Materiels other than major end items. By the director or deputy 
director of an MRC.
    (B) All other items. By HQ DARCOM or commanders of MRCs unless loan 
would interfere with issue against DA Master Priority List (DAMPL) 
priorities, then by HQDA ODCSLOG (DALO-SMD).
    (3) Loans to federal departments/agencies. Loans to Federal 
activities outside the DOD are usually provided under provisions of the 
Economy Act, 31 U.S.C. 686. Federal agencies borrowing DOD materiel 
using the provisions of this act are responsible for reimbursing the DOD 
for all DOD costs incident to the delivery, return, and repair of the 
materiel. The borrower is also responsible for reimbursing the DOD for 
depreciation if the depreciation cost is significant.
    (4) Disaster relief.
    (i) CONUS/OCONUS.
    (A) In disaster situations local civil authorities must provide 
relief from their own resources. If this is not sufficient, and the 
American National Red Cross has a team at the disaster, requests for 
further assistance should be made to them. If the President has declared 
a major disaster or emergency, requests should be made to the regional 
director of the Federal Disaster Assistance Administration (FDAA). (See 
AR 500-60 for guidance.)
    (B) The commanding General, US Army Forces Command (FORSCOM), acting 
for the Secretary of the Army (SA), is responsible for Army materiel 
support of disaster relief operations within the United States and the 
District of Columbia. UCOMs are responsible for disaster relief 
operations in US possessions and trust territories. These commanders are 
authorized to task DOD agencies and commands, consistent with defense 
priorities, to provide materiel in support of operations. A military 
representative will be appointed by the appropriate command to act as 
the DOD point of contact with the Housing and Urban Development (HUD) 
Federal Coordinating Officer (FCO) when military assistance is required 
during a Presidential declared disaster or emergency. When a disaster or 
emergency is of such magnitude, the disaster area may be geographically 
subdivided. A military representative will then be appointed for each 
FCO. All requests for military assistance will be passed through the FCO 
to the DOD military representative at the disaster area.
    (C) The Director of Military Support (ODCSOPS), HQDA, acts at the 
DOD point of contact for the Administrator, FDAA, other Federal 
agencies, and the American National Red Cross in all disaster assistance 
matters.
    (ii) Foreign. (A) The Department of State is responsible for 
deciding when emergency foreign disaster relief operations will be 
undertaken. This authority is delegated to Chiefs of Diplomatic Missions 
for disaster relief operations whose total costs will not exceed 
$25,000.
    (B) Send queries on foreign disaster relief to HQDA (DAMO-ODS) (para 
4, app B).
    (5) Civil disturbances. The maintenance of law and order is 
primarily the responsibility of local and state authorities. In civil 
disturbance situations, a basic goal of the Federal Government is to 
minimize the involvement of active military forces. One of the most 
effective means of keeping Federal forces off the streets is to loan US 
Army civil disturbance type equipment to Federal, State, and local law 
enforcement agencies and also to the National Guard. (For specific 
guidance see AR 500-50.)
    (i) Requests for loan of Army materiel during or for expected civil 
disturbances are of three types with approval authority as follows:
    (A) Group one. Arms, ammunition, tank-automotive equipment, and 
aircraft. Loans will be approved by the SA or his designee.
    (B) Group two. Riot control agents, concertina wire, and similar 
military equipment which is not included in group one. Loans will be 
approved by the SA (or his designee), or by an Army

[[Page 513]]

task force commander employed at an objective are during a civil 
disturbance.
    (C) Group three. Protective equipment such as masks and helmets; 
body armor vests; other equipment not included in group one or two such 
as clothing, communications equipment, and searchlights; and the use of 
DOD facilities. Such loans will be approved by the SA (or his designee); 
by MACOMs; by the CGs of CONUS armies, MDW, and by commanders of UCOMs 
outside CONUS as applicable. (NOTE: Firefighting equipment will not be 
used for riot control).
    (ii) Queries concerning loans in support of civil disturbances will 
be forwarded to the Director of Military Support, HQDA(DAMO-ODS), WASH 
DC 20310. (See app B.)
    (6) Terrorism. (i) The Department of the Army is the DOD Executive 
Agent for support to the FBI in combating terrorism. Existing civil 
disturbance loan procedures, including categories of equipment, apply to 
equipment loans to the FBI for combating terrorism. Military resources 
will be provided only upon request of the Director, FBI, or the Senior 
FBI official present at the scene of a terrorist incident. It may be 
difficult in some situations to determine whether a practical incident 
fits the definition of terrrorism. In these cases, commanders are 
authorized to accept the judgment of the FBI official making the request 
if it is supported by the available facts. (See para 3, table 2-1.)
    (ii) For requests from the FBI in connection with terrorist 
incidents, any commander in the chain of command down to and including 
commanders of military installations are authorized to approve loans of 
group two and group three resources. (See paragraphs (a)(4)(1) (B) and 
(C) of this section.) Requests for equipment which involve technical/
operating personnel, excluding fire-fighting equipment and explosive 
ordnance disposal, will be processed as a group one resource. For 
example, approval authority is retained by the DOD Executive Agent.
    (7) Aircraft piracy. Assistance to other federal agencies in the 
protection of airways is provided through loans under guidance in 
paragraph 3, table 2-1. Specific limitations on such support are covered 
in AR 500-1.
    (8) Loan/lease to activities outside the Federal Government. Title 
10, U.S.C. 2667, authorizes the lease of Army materiel to non-DOD 
departments, agencies, activities, or individuals when it is determined 
that the materiel is not, for the period of the lease, needed for public 
use, is not excess property, and that the loan will promote the national 
defense or be in the public interest, (See AR 360-61.) Such a lease must 
not be for more than 1 year (or be renewed/extended for a total period 
of more than 5 years); it must provide that the lessee will pay a fair 
monetary rental. The fair monetary rental will be determined on the 
basis of prevailing commercial rates or computed according to sound 
commercial accounting practices for the fixing of rental on such 
property. This will include a return on capital investment and 
administrative cost as well as depreciation. The delegation of authority 
to lease is SAOSA-71-6, paragraph 1-5103, ADARS, the prescribed lease 
agreement is at paragraph 16-553, ADARS.
    (b) Loan agreements. (1) Upon approval of a loan request and before 
shipment or issue of the materiel, the approving authority will complete 
a written loan agreement, DA Form 4881-R. In all cases, the statutory 
basis for the loan will be cited. The approving authority is acting for 
the DOD on loans to other Federal agencies, and for the United States on 
loans to civil authorities and special activities. The agreement will be 
signed by the approving authority and the borrowing activity. When 
emergency loans have been made as authorized by this AR, follow-up 
action will be taken at once to formalize the loan by completing a loan 
agreement.
    (2) Loan agreements are mutually developed by the approving 
authority and the chief of the borrowing activity (or their designees). 
The agreements identify the responsibilities of all parties. They 
include terms and conditions of the loan. Appendix C illustrates a 
sample loan agreement, DA Form 4881-R (Agreement for the Loan of US Army 
Materiel), and specifies what the loan agreements will stipulate and 
contain. Also illustrated at appendix C is DA

[[Page 514]]

Form 4881-2-R, which will be completed and appended to the loan 
agreement as ``Exhibit I.''
    (3) Loan agreements will be held by the approving authority until 
termination and final settlement of each loan.
    (4) If the loan agreement is signed by someone other than the chief 
borrowing official, than a Certificate for Signature by an Alternate 
will be completed. (See appendix D for DA Form 4881-1-R.) It will be 
attached to the signed (by the borrower) copy of the agreement that is 
retained by the approving authority. DA Forms 4881-R, 4881-1-R, and 
4881-2-R are reproduced locally on 8\1/2\ by 11-inch paper.
    (c) Surety bonds. (1) Some borrowers of Army materiel must post a 
surety bond. (See table 2-1 and DA Form 4881-3-R at app E.) Bonds ensure 
safe return of the borrowed materiel or reimbursement for any loss of or 
damage to the materiel. The bond will consist of--
    (i) A properly executed surety bond with a certified bank check, 
cash, or negotiable US Treasury bonds, or
    (ii) Notice of bond by a reputable bonding company deposited with 
the approving authority for the loan. Bonds will equal the total price 
of the borrowed items as shown in exhibit I to the loan agreement (app 
C, DA Form 4881-R). A ``double'' bond (bond equal to twice the value of 
the borrowed item(s)) will be required--
    (A) For Army materiel loaned to the Red Cross for instruction and 
practice to aid the Army, Navy, or Air Force in time of war (10 U.S.C. 
2542).
    (B) For ordnance and ordnance stores loaned to high schools in the 
District of Columbia (10 U.S.C. 4653).
    (2) The bond need not be posted by the borrowing agency itself. The 
source or originating agency for the bond is immaterial if the bond is 
valid. For example, to secure a loan, a State may post bond on behalf of 
a city, county, or other governmental body or authority within the 
State.
    (3) In an emergency, when posting a bond would delay approval of an 
urgent loan request and when the total price is less than $1,000, the 
approval authority may approve the request. The approval is on the 
condition that the bond be posted within 5 days.
    (4) Bond forfeitures or exceptions to mandatory forfeitures can only 
be made with the concurrence of the Secretary of the Army. Forfeitures 
will be based on actual expense incurred. Forfeitures do not release the 
borrowing agency from returning borrowed materiel or affect ownership. 
Bonds are normally forfeited under the following conditions:
    (i) Materiel is not returned at the termination of a loan period or 
when return has been directed by the Army.
    (ii) The borrowing agent refuses to pay for damages or other Army 
expenses.
    (5) Surety bonds will be held by the approving authority until the 
loan is terminated and final settlement is made. At that time, the bond 
will be returned to the borrower.
    (6) If US treasury bonds are posted as surety bond, the borrower 
must execute a power of attorney (DA Form 4481-4-R, app F). This will 
enable cashing of the treasury bonds if some forfeiture is required. DA 
Form 4881-3-R (Surety Bond) and DA Form 4881-4-R (Power of Attorney) 
will be reproduced locally on 8\1/2\ by 11-inch paper.
    (d) Loan duration. (1) Loan periods and extensions will be shown in 
table 2-2.
    (2) Materiel will be loaned only for the number of days needed for 
the specific purpose for which borrowed. Loan extensions must be 
justified. The reason(s) why other means or other than Army materiel 
cannot be used must be included. Approval of loan extensions will be 
based on the merit of the reasons given.
    (3) Loan extensions authorized beyond 1 year will not be approved 
unless the lender of the loaned materiel has inspected and inventoried 
the materiel to insure completeness and serviceability.
    (e) Types of DA materiel available for loan. Examples of types of 
items that may be loaned, and examples of the types of organizations 
that may borrow Army materiel, are listed in table 2-1. Most loans will 
be nonexpendable items or expendable items not forecast to be consumed 
(durable items). Expendable items (e.g., expendability code X) will not 
be loaned unless approved as an exception.

[[Page 515]]



                                      Table 2-1--Loan Authority and Purpose
                                         [See footnotes at end of table]
----------------------------------------------------------------------------------------------------------------
                                                                    Normal approving       Examples of materiel
              Requester                 Authority and guidance         authority                authorized
----------------------------------------------------------------------------------------------------------------
1. DOD Activities....................  10 U.S.C. 2571.........  Secretary of the Army    Materiel, supplies, and
                                                                 (or designee).           equipment.
2. Department of Agriculture (U.S.     31 U.S.C. 686; Memo of   Secretary of the Army    Communications,
 Forest Service) protection against     Understanding (MOU),     (or designee).           earthmoving, and
 wildfire \2\ (see AR 500-60 for        Apr. 24, 1975; AR 500-                            vehicular equipment.
 guidance) \3\.                         60.
 Avalanche Control \3\...............  10 U.S.C. 4655; 31       Secretary of the Army    Communications,
                                        U.S.C. 686; AR 735-5;    (or designee).           howitzers, etc.
                                        MOU Nov. 29, 1973.
3. Department of Justice (FBI).......  10 U.S.C. 331; 10        .......................  Transport aircraft,\1\
                                        U.S.C. 332; 10 U.S.C.                             helicopters, flares,
                                        333.                                              parachutes,
                                                                                          communications
                                                                                          equipment, arms,
                                                                                          vehicles, etc.
  Aircraft Piracy \1\ (see AR 500-1    10 U.S.C. 4655; 18       DOD General Counsel \1\
   for guidance).                       U.S.C. 1385; 31 U.S.C.   or designee; in urgent
                                        686; DODD 3025.12; AR    cases, Deputy Director
                                        500-1.                   for Operations, NMCC.
  Terrorism \2\......................  AR 500-50..............  See item 7 below for     See item 8 below for
                                                                 \2\ approval authority   \2\ classification
                                                                 by equipment             equipment.
                                                                 classification.
  Drug Enforcement Agency \1\........  31 U.S.C. 686; AR 735-   Asst SECDEF (or          Same as above.
                                        5, par. 1-16; CSR 1-25.  designee).
4. Treasury Department (U.S. Custom    18 U.S.C. 3056; 31       Asst SECDEF (or          Same as above.
 Service) (U.S. Secret Service) \1\.    U.S.C. 686; AR 735-5,    designee); Mil Asst to
                                        par. 1-16; DODD          the President;
                                        3025.13; DODI 5030.34;   followed by the Spec
                                        AR 1-4.                  Asst to the SECDEF;
                                                                 (overseas) CINC,
                                                                 UCOM's.
5. National Guard Equipment (loan to   AR 735-5; 10 U.S.C.      Secretary of the Army    Material, supplies, and
 NG).                                   2571.                    HQDA; CG FORSCOM;        equipment.
                                                                 DARCOM.
6. Other Federal agencies emergency    31 U.S.C. 686; AR 735-   Spec Asst SECDEF;        Material, supplies, and
 support \1\ to Federal agencies (see   5; AR 1-35; AR 500-60;   Secretary of the Army.   equipment for flood
 AR 1-35 and AR 500-60 for guidance).   DODD 4000.19.                                     fighting, rescue
                                                                                          operations, repair/
                                                                                          restoration of flood
                                                                                          control works, or
                                                                                          hurricane flood
                                                                                          protection works.
  Support to FPA/GSA Regional Field    AR 15-17; DODD 5100.74;  HQDA; CG FORSCOM; CG     Transportation,
   Boards \2\ (see AR 15-17 for         OEP Civ 8500.6.          CONUSA.                  emergency power and
   guidance).                                                                             fuel.
  Support to Inaugural Committee.....  10 U.S.C. 2543.........  SECDEF.................  Tents, flags, litters,
                                                                                          ambulances, drivers,
                                                                                          hospital furniture,
                                                                                          camp appliances.
7. Support for Search and Rescue.....  AR 500-2; FM 20-150; AR  CG FORSCOM; GC CONUSA..  Search craft and crews.
                                        525-90.
8. Civil Authorities Civil             42 U.S.C. 5121 et seq.;  Group One: DOD           Group One: Arms,
 Disturbance \2\ (see AR 500-50 for     10 U.S.C. 331; DODD      Executive Agent or       ammunition, tank-
 guidance).                             3025.12; AR 500-50; AR   designee.                automotive equipment,
                                        350-7; DACD Plan;                                 and aircraft.
                                        Garden Plot.
                                                                Group Two: DOD           Group Two: Riot control
                                                                 Executive Agent or       agents, concertina
                                                                 designee, or task        wire, and other like
                                                                 force command at         military equipment to
                                                                 objective area during    be employed in control
                                                                 the civil disturbance.   of civil disturbances.
                                       .......................  Group Three: DOD         Group Three:
                                                                 Executive Agent or       Firefighting
                                                                 designee; CG MDW; CG     resources, equipment
                                                                 CONUSA; and CINC's       of a protective nature
                                                                 UCOM's, OCONUS.          (masks, helmets, body
                                                                                          armor vests) and use
                                                                                          of Army facilities.
  Disaster Relief \2\................  42 U.S.C. 5121 et seq.;  CG FORSCOM; CG DARCOM    Same as 6 above.
                                        DODD 3025.1; AR 500-60   for DARCOM stocks; and
                                        and AR 930-5; DODD       CINC's, UCOM's, OCONUS.
                                        5100.46.

[[Page 516]]

 
  Civil Defense......................  DODD 3025.10; AR 500-70  CG FORSCOM.............  Personnel, facilities,
                                                                                          equipment, supplies,
                                                                                          and services.
  American National Red Cross for      MOU between DOD and      HQDA; The Adjutant       Personnel, equipment,
   support of Army units in support     ANRC, June 24, 1975.     General (DAAG-ASO-R).    office space,
   of local civil government disaster                                                     equipment, supplies;
   relief.                                                                                and custodial,
                                                                                          utility, maintenance,
                                                                                          and communication
                                                                                          services.
9. Environmental Protection Agency     33 U.S.C. 1251 et seq.;  Same as disaster relief  Personnel, facilities,
 and U.S. Coast Guard (oil and          DODD 5030-41; AR 500-                             supplies, equipment,
 hazardous substances pollution         60.                                               and transportation.
 spills).
10. Boy and Girl Scouts of America     10 U.S.C. 2544; AR 725-  MACOM CG on behalf of    Bedding, cots, chairs,
 (world or national jamborees) \3\.     1, ch. 7.                CG DARCOM.               vehicles, buildings,
                                                                                          etc.
11. Civilian Marksmanship Program      10 U.S.C. 4308, 4311,    Secretary of the Army    Arms and accouterments.
 (Clubs and Schools) \3\.               4651, 4652, 4653,        (or designee).
                                        4685; AR 920-15; AR
                                        920-20.
12. Community Relations and Domestic   AR 28-19; AR 360-61; 42  Installation commanders  Equipment or buildings
 Action Programs \1\ (Youth             U.S.C. 2701.                                      which may aid in
 Conservation Corps).                                                                     instruction to the
                                                                                          disadvantaged.
13. Veterans Organizations (State and  10 U.S.C. 2541.........  MACOM CG and CG CONUSA.  Cots, bedding, chairs,
 National Conventions) \3\.                                                               tents, mattresses,
                                                                                          pillows, unoccupied
                                                                                          barracks, etc.
  Burial Ceremonies..................  10 U.S.C. 4683.........  Secretary of the Army..  Obsolete rifles.
14. Armies of the United Kingdom,      10 U.S.C. 2667; AR 34-1  CG DARCOM (those for     Equipment.
 Canada, and Australia                                           equip valued over
 (Standardization Program).                                      $100,000 and those not
                                                                 favorably considered
                                                                 by DARCOM will be
                                                                 referred to the
                                                                 DCSRDA, HQDA, for
                                                                 approval).
15. Aid to District of Columbia        DODD 5030.46; CSR 500-4  Secretary of the Army    Communications,
 Government in Combating Crime \2\.                              (or designee).           vehicles, aircraft,
                                                                                          arms, etc.
16. Departments, agencies,             10 U.S.C. 2667; SAOSA-   Heads of Procuring       Army property, not
 municipalities, organizations,         71-6, par. 1-5103,       Activity.                excess requirements,
 activities, and individuals.           ADARS.                                            but not needed for
                                                                                          period of lease. (See
                                                                                          delegation of
                                                                                          authority.)
17. Red Cross (Aid to DOD in time of   10 U.S.C. 2602; AR 930-  DAAG...................  Office space, supplies
 war).                                  5.                                                and equipment;
                                                                                          uniforms.
18. Army Flying Clubs................  AR 230-1; DODD 1330.2..  DAAG; CG FORSCOM.......  Army aircraft.
19. Civilian Activities..............  10 U.S.C. 2572; AR 870-  Chief, Military History  Historical properties
                                        15; AR 870-20.                                    and military art.
20. Civilian Educational Institutions  10 U.S.C. 4654.........  Secretary of the Army..  Quartermaster supplies.
----------------------------------------------------------------------------------------------------------------
\1\ DA DCSOPS, Director of Military Support, has responsibility for these staff functions.
\2\ DA DCSOPS, Director of Military Support, has responsibility for these executive agent functions. (See app. A
  for definition of this term.)
\3\ DA DCSLOG, Director of Supply and Maintenance, has responsibility for these staff functions.


                         Table 2-2--Loan Periods
------------------------------------------------------------------------
                                                       Loan periods \1\
        Borrower/purpose                Initial            extension
------------------------------------------------------------------------
1. DOD Activities...............  As needed for       As needed for
                                   mission             mission
                                   accomplishment.     accomplishment.
2. Army National Guard (loan of   For minimum         For minimum
 equipment).                       essential period    essential period
                                   as determined by    as determined by
                                   requirements.       requirements.
3. Department of Agriculture      90 days...........  90 days.
 (U.S. Forest Service)
 (protection against wildfire).
4. Department of Justice (FBI)    For minimum         For minimum
 (Aircraft piracy).                essential period.   essential period.
  (Drug Enforcement Agency).....  1 year or less as   1 year or less.
                                   determined by
                                   requirements.
5. Treasury Department (U.S.      1 year or less as   1 year or less.
 Customs Service).                 determined by
                                   requirements.
  (U.S. Secret Service).........  For minimum         For minimum
                                   essential period    essential period
                                   as determined by    as determined by
                                   requirements.       requirements.

[[Page 517]]

 
6. Environmental Protection       For duration of
 Agency/U.S. Coast Guard.          requirements.
7. Other Federal Agencies.......  For minimum         1 year.
                                   essential period.
8. Civil Agencies (Civil          15 days during      15 days.
 disturbances) Type I.             actual disorder.
  Type II.......................  90 days in          90 days.
                                   anticipation of a
                                   disorder.
  (Disaster relief).............  For minimum
                                   essential period,
                                   no extension for
                                   use during
                                   rehabilitation
                                   unless requested
                                   by the FDAA.
9. Boy and Girl Scouts of         For duration of
 America (World or National        ``Jamboree'' plus
 Jamborees).                       period en route
                                   to or return from
                                   Jamborees.
10. Civilian Marksmanship (Clubs  1 year............  1 year.
 and Schools).
11. Civilian Community            As justified by
 (Relations and Domestic Action    local requesters.
 Programs).
12. American National Red Cross   Same as above for   Same as above.
 for support of Army units in      duration of
 support of local civil            requirements
 Government disaster relief.       (office
                                   equipment).
13. Veterans' Organizations.....  15 days...........  15 days.
14. To Armies of the United       1 year or less as   As negotiated.
 Kingdom, Canada, and Australia    determined by
 (Standardization Program).        requirements.
15. Civilian Organizations:
  a. Arms and accouterments.....  1 year or less as   1 year.
                                   determined by
                                   requirements.
  b. DLA stock fund items.......  120 days..........  30 days.
  c. Medical equipment..........  15 days...........  As negotiated.
  d. Medical supplies (drugs,     30 days...........  As negotiated.
   vaccines, etc. must be
   replaced in kind).
  e. All other items............  Requester           As negotiated.
                                   justification.
16. DA materiel provided under    1 year............  1 year.
 10 U.S.C. 2667.
------------------------------------------------------------------------
\1\ All extensions or loan renewals which extends the overall loan
  period beyond 1 year must be approved by the Secretary of the Army (or
  designee).



Sec. 623.3  Submission of requests for loan of Army materiel.

    (a) General. (1) Loan requests will be expedited according to the 
situation's urgency. A situation may be so serious that waiting for 
instructions or approval from a higher authority is unwarranted. 
Commanders will then take action as required to save human life, prevent 
human suffering, or reduce property damage or destruction. (See Sec. 
623.2(b)(1).) Such emergency actions will be reported at once to higher 
authority according to Sec. 623.7.
    (2) Requests to the US Army for loan, or loan extension, will be 
promptly sent by the Army element that received the request through 
channels to the approving authority shown in table 2-1 or as specified 
in appropriate regulations.
    (3) Loan requests will be made by the head of the Federal agency, 
civil authority, or civilian activity desiring the materiel. An 
exception is that requests from the Federal Disaster Assistance 
Administration (FDAA) will normally be initiated by an FDAA regional 
director rather than by the administrator. The requests should be made 
directly to the approving authorities shown in table 2-1.
    (b) The Army National Guard (ARNG). Loan requests for property 
belonging to ARNG will be made under National Guard Regulation 735-12. 
(See para 5, table 2-1.)
    (c) General Procedures--(1) DOD activities. DOD activities will 
borrow Army materiel as follows:
    (i) Requests will be made in writing citing--
    (A) Detailed justification for loan to include urgency of need.
    (B) Duration of loan.
    (C) Funds to defray transportation and handling.
    (D) Serviceability requirements.
    (ii) Approving authority involved will--
    (A) Forward a loan agreement to requester. Loan agreements within 
DOD will often consist of letter requests, approving endorsements, and 
materiel issue document (DD 1348-1) transferring temporary 
accountability. Between units and activities, a hand receipt may be used 
as the loan agreement.

[[Page 518]]

    (B) Furnish positive identification of item to be loaned.
    (C) Provide instructions for delivery of equipment.
    (iii) DOD recipient of loaned Army materiel will--
    (A) Forward accepted loan agreement to approving authority (all 
actions can be accomplished by electrically transmitted messages).
    (B) Provide geographic location of equipment and specific activity 
that is responsible for care and preservation of loaned equipment.
    (C) Return equipment to Army in condition received with normal 
allowance for fair wear and tear.
    (2) Non-DOD activities. Non-DOD activities, including Federal 
agencies will request loan of Army materiel as follows:
    (i) Non-DOD activities, and agencies, will send routine requests by 
letter 45 days before the materiel is required. Federal agencies may use 
Standard Form 344 (Multiuse Standard Requisitioning/Issue System 
Document). Requests will include the following:
    (A) The DA approving authority. See table 2-1.
    (B) Date request is submitted.
    (C) Title of requesting agency and/or person authorized to receive 
or pick up the borrowed materiel. Be specific; e.g., Special Agent in 
Charge John Doe, FBI, Anytown, USA, (telephone number with area code) 
123-456-7890.
    (D) Type of loan; e.g., Boy Scout National Jamboree, American Legion 
Convention, etc. (with a short summary of circumstances).
    (E) Statement that none of the requested materiel is internally 
available to the requesting activity.
    (F) Statement that this support is not reasonably available from 
local government or commercial sources.
    (G) Authority for the loan (if known); e.g., public law, US code, 
executive order, etc. See table 2-1.
    (H) Positive identification of the type and quantity of items 
required. If national stock numbers and nomenclature are not available, 
identify the items needed by type, model, size, capacity, caliber, etc.
    (I) Geographic location where the materiel will be located and used.
    (J) Proposed duration of the loan.
    (K) Statement that the agency has, or will ensure capability to 
properly operate, maintain, secure, and care for the borrowed materiel.
    (L) If firearms are requested, a statement that adequate facilities 
are available to secure the arms. See Sec. 623.5(a)(4).
    (M) A statement that the borrowing activity will assume all 
responsibilities, liabilities, and costs related to the movement, use, 
care, security, loss, damage, and repair of the loaned materiel.
    (N) Citation of funds to cover reimbursable costs. Also, a statement 
that an adequate bond will be provided, if required.
    (O) A statement that the loan agreement prepared by the Army will be 
signed by the ``responsible official'' of the borrowing activity (or 
designee).
    (P) Name, address, and telephone number of the person who will serve 
as the point of contact for the requesting agency, authority, or 
activity.
    (Q) Complete instructions for delivery of the equipment to ensure 
that shipping instructions in the request are consistent with the 
urgency of the situation. State whether a small quantity shipped by air, 
express, or other fast means will satisfy immediate needs until bulk 
shipments can arrive. Also state quantity immediately required.
    (R) If applicable, the number of persons to be accommodated.
    (ii) Urgent requests may be made to meet expected or actual 
emergencies. Such requests may be made by telephone or by electrically 
transmitted message. Include information required in paragraphs 
(c)(2)(i) (A) through (R) of this section to the extent possible. The 
request will be presented to the approving authority. The borrower will 
then send a complete written request to formalize the emergency request.
    (iii) If approval of the loan is granted, approving authorities will 
contact accountable property officers at CONUS installations (equivalent 
level overseas), or MRC item managers to determine which items are 
available. Installation requests to MRCs will state that the 
installation resources could not meet the loan requirements. 
Availability decisions will be based on normal management criteria 
including

[[Page 519]]

past and anticipated demand, asset balances, order-ship time, repair 
rate and repair cycles, and procurement schedules. If requested items 
are available and approved for issue, the approving authority (or 
designee) will--
    (A) Negotiate and agreement;
    (B) Obtain surety bond from the borrower when required;
    (C) Provide reproduced copies of the signed documents to the 
appropriate accountable property office along with authorization to make 
the loan.
    (iv) Approving authorities will maintain a system of numerical 
control for all loans. The accountable property officer will enter this 
number on all transaction documents related to each specific loan to 
include requisition, issue, shipping, turn-in, and financial documents.
    (3) The US Secret Service (USSS). (i) Army regulation 1-4 provides 
policies and procedures for Army support to the Secret Service. Support 
will be provided only on the request of the Director, United States 
Secret Service or his authorized representative. It will be provided 
only to assist the United State Secret Service in performance of its 
statutory protective functions.
    (ii) Routine requests are sent by the United States Secret Service 
direct to the Office of the Special Assistant to the SECDEF for 
approval. Approved requests involving Army resources are tasked through 
HQDA (DAMO-ODS) to the proper command. Approved requests for resources 
of other Services are tasked direct to the proper Service.
    (iii) Approved requests for resources to be used in oversea areas 
(regardless of Service) will be passed from the Office of the Special 
Assistant to the SECDEF to the Joint Chiefs of Staff (JCS) for tasking 
of the proper unified command.
    (iv) In urgent situations, the United States Secret Service may 
request military resources from the nearest military commander who is 
authorized to take action consistent with the urgency. As soon as 
possible, they will seek guidance/approval through command channels to 
the approval authority (Spec Asst to the SECDEF).
    (4) Drug and narcotics interdiction activities. All non-DOD Federal 
agencies requesting DOD resource in support of drug or narcotics 
interdiction activities should send requests through their headquarters 
to DOD, ATTN: Deputy Assistant SECDEF (Program Management), WASH DC 
20314. Concurrently, information pertaining to the request should be 
sent to HQDA (DAMO-ODS) (para 4, app B), or relayed by telephone 
(AUTOVON 225-2003 or the Army Operations Center 851-1800 during nonduty 
hours). The Deputy Assistant SECDEF will pass approved request to HQDA 
(DAMO-ODS), through the Office, Under Secretary of the Army, for 
determination of availability and readiness impact. If approved by the 
Under Secretary of the Army, ODCSOPS (DAMO-ODS) will task the proper 
MACOM to provide support. Requests for extension or changes to 
agreements will be processed as noted in tables 2-1, 2-2 and paragraph 
(a)(2) of this section.
    (5) The Federal Bureau of Investigation. (i) Requests for aircraft 
piracy assistance, received from Federal authorities by Army field 
commands or activities, will be forwarded through command channels by 
telephone (confirmed by electrically transmitted message) to the 
Military Support Division, ODCSOPS (DAMO-ODS), AUTOVON 255-3848/7433/
2003 (WATS 202-695-2003). These requests will be approved by the DOD 
General Counsel (or designee).
    (ii) The requests will then be sent to the National Military Command 
Center (NMCC). It will coordinate between the lending accountable 
property officer and the borrower.
    (iii) In urgent cases, the Deputy Director for Operations, NMCC, may 
approve requests upon his or her own responsibility. This is subject to 
a later report to the chairman of the Joint Chiefs of Staff and the DOD 
General Counsel.
    (iv) Approved requirements will be passed to the Secretary of the 
Army by telephone and confirmed by electrically transmitted message. The 
Secretary of the Army will then assign the requirement to the proper 
command (or staff agency) which will contact the designated Federal 
civil official and confirm the details of the request.

[[Page 520]]

Modification of the requirement to better perform the mission is 
authorized if the Federal official agrees.
    (6) Enviromental Protection Agency (EPA), US Coast Guard (USCG), or 
National Response Team (NRT). Non-DOD Federal agency requests for loan 
of materiel to combat oil and hazardous substance pollution spills will 
be made directly to the Commanding General, FORSCOM. Requests will be 
made by an ``On Scene Coordinator'' (OSC) of the EPA, or by the USCG 
acting for the Department of Transportation. The pollution spill NRT may 
also initiate requests. Approval authority is shown in table 2-1.
    (d) Civil Authorities. Loans of materiel to civil authorities for 
use during civil disturbances and disasters will be made as follows:
    (1) Civil disturbances. Requests for Army materiel in anticipation 
of (or during) civil disturbances will be promptly sent through command 
channels to the approving authority (UCOM commanders will coordinate 
requests originating from areas outside CONUS) as follows:
    (i) Requests for resources that require Secretary of the Army 
approval will be sent through channels to HQDA (DAMO-ODS) (para 4, app 
B).
    (ii) Requests for group three resources (Sec. 623.2(a)(5)) that are 
not available to commanders having the approval authority will be sent 
through channels to HQDA (DAMO-ODS). Intermediate commands may approve 
and make available the requested resources.
    (iii) Requests received by other DOD agencies will be referred to 
local Army installation commanders for processing.
    (2) Disaster relief. Requests for loan of materiel to support 
disaster relief will be handled as follows:
    (i) Valid requests for disaster relief assistance (see Sec. 
623.2(a)(4) for decisionmaking process) will be given to the DOD liaison 
(a military officer) assigned to the disaster; or forwarded to the CONUS 
Army commander in which the disaster occurs. (See appendix G.) If no 
Federal Disaster Assistance Administration (FDAA) official (HUD Federal 
Coordinating Officer (FCO)) is present at the disaster scene, requests 
may be received from the Red Cross.
    (ii) HUD Regional Directors for FDAA, or FCOs, will send requests 
for loan of materiel to the Commanding General, FORSCOM, or to the 
proper CONUS Army commander. (Requests for Defense Civil Preparedness 
Agency (DCPA) resources will be sent to DCPA regional offices.)
    (e) Civilian Activities--(1) Veterans' Organizations. Loan requests 
by authorized veterans' organizations (as listed in VA Bulletin 23A) 
will be sent to the commander of the CONUS Army area (or Commander, 
MDW), for the area where the materiel will be required. (See appendix 
G.)
    (2) Scouting Loans. National and regional scout executives will send 
requests (restricted to DOD support of national and world jamborees) 
according to chapter 7, AR 725-1. (See Sec. 621.4 of this title.)
    (3) Loans/Leases Under the Provisions of Title 10 U.S.C. 2667. 
Requests for loans from other civil activities and organizations may 
come into the DOD through various channels; e.g., telephone call to 
local installation commander, letter to Congressmen, or directly to the 
Secretary of Defense or Army. Each request will be forwarded to the 
authority having the item and having the authority to approve the 
request. (See appendix B and table 2-1.) In cases where approval is 
questionable, the request may be submitted through channels to HQDA 
(DALO-SMD) WASH DC 20310 (para 2, app B) recommending approval/
disapproval action.
    (f) Loans to the United Kingdom (UK), Canada, and Australia. All 
requests for loans (restricted to materiel for use in the 
``Standardization Program'') to the UK, Canada, or Australia will be 
sent to Commander, DARCOM, ATTN DRC-IRD for approval. AR 795-204 
addresses loans to other allied governments. (See DOD Military 
Assistance and Sales Manual, DOD 5105.38-M.)
    (g) Special Materiel Requests--(1) Loan of Communications Security 
(COMSEC) Equipment. Subject to provisions of this regulation, requests 
for loan of COMSEC equipment will be sent to the Commander, US Army 
Communications Security Logistics Agency (para

[[Page 521]]

24, app B) for approval, loan action, and establishment of loan records. 
All loans of Army COMSEC equipment to civilian authorities or activities 
will be according to Technical Bulletin 380-41. Standard Form 153 will 
be annotated to show purpose of the loan, expected date of return, and 
authority for the loan. A copy will be sent to the Director, National 
Security Agency (NSA), ATTN: S3, Fort George G. Meade, MD 20755.
    (2) Loan of arms and accouterments. Requests for loan of arms and 
accouterments will be sent by requesting agencies directly to the 
Secretary of the Army, Military Support Division, HQDA (DAMO-ODS) (para 
4, app B). Requests received out of this channel will be returned to the 
originator for resubmission. The Secretary of the Army (or designee) is 
the approval authority. See Sec. 623.5 for procedures.
    (3) War reserves and operational project stocks. Regulatory guidance 
with respect to loan of war reserves and operational project stocks to 
DOD organizations is found in chapter 8, AR 710-1. Loans of war reserves 
and operational project stocks to non-DOD activities will be according 
to this regulation and must be approved by HQDA (DALO-SMW) (para 3, app 
B).
    (4) Loan of historical property and art. Requests for loans of Army 
historical property and military art will be sent to the Commander, US 
Army Center of Military History (para 4, app B). Specific information on 
such loans is found in AR 870-15 and AR 870-20.



Sec. 623.4  Accounting procedures.

    (a) Loan Document Format. (1) When the lending accountable property 
officer receives copies of the loan request, loan agreement, surety bond 
(if required), and written loan authorization from the approving 
authority, the loan request will be converted to Military Standard 
Requisitioning and Issue Procedures requisition formal (DD Form 1348) as 
follows: (NOTE: In emergencies, authorization may be made by telephone. 
The format request, agreement, bond, and authorization will follow. 
Informal records should be also maintained.)

------------------------------------------------------------------------
           Card columns                         Code or data
------------------------------------------------------------------------
1-3...............................  ``AOE''.
4-6...............................  RIC of NICP (lender).
7.................................  Media and status code.
8-22..............................  National stock number.
23-24.............................  Unit of issue.
25-29.............................  Quantity.
30-43.............................  Document number.
(30-35)...........................  DODAAC of the requisitioner, if
                                     applicable, otherwise DODAAC of
                                     accountable property officer
                                     (lender).
(36-39)...........................  Julian date.
(40-43)...........................  Serial number.
44................................  ``N'' for nonrecurring demand.
45-50.............................  Supplemental address (loanee DODAAC)
                                     for DOD units. For non-DOD
                                     activities enter the shipping
                                     destination.
(45)..............................  ``Y''.
(46-49)...........................  Julian date of receipt of loan
                                     request.
(50)..............................  Alphabetic (except I or O)
                                     indicating which loan of the day is
                                     first; e.g., A-first, B-second,
                                     etc.
51................................  ``M''.
52-53.............................  ``G4'' for loans to nonresearch and
                                     development activities. ``G6'' for
                                     loans to research and development
                                     activities.
54-56.............................  Blank.
57-59.............................  Project code if applicable. Note:
                                     This will be the same for all
                                     loans. Project codes will be
                                     assigned by Chief, Logistic Systems
                                     Support Activity, ATTN: DRXLS-LCC,
                                     Chambersburg, PA 17201. It will be
                                     sent by message to all interested
                                     addresses.
60-61.............................  Priority.
62-64.............................  RDD.
65-66.............................  Blank.
67-69.............................  Depot RIC.
70................................  Purpose code.
71................................  Condition code.
72................................  Management code.
73-80.............................  Blank.
------------------------------------------------------------------------

    (2) Loaned property will be kept on the accountable records of the 
owning property account. The entry showing the quantities loaned will be 
supported by DD Form 1348-1 (receipt document), and copies of the loan 
agreement and surety bond (if required). The receipt document must be 
signed by the responsible official of the borrowing activity. It is then 
returned to the accountable property officer as a valid hand receipt for 
property accounting purposes.
    (3) Loans will be processed by accountable property officers 
according to normal supply procedures except as modified by this 
regulation.
    (4) Accountable property officers will keep loan files with enough 
documentation to provide an audit trail for loan transactions and a 
single source of accounting and billing for reimbursement. No separate 
property book accounts will be set up for these loans.

[[Page 522]]

Items, with dates shipped, will be identified by use of ``loan control 
numbers'' in loan jacket files and in supporting documentation. The 
files will include copies of--
    (i) The loan request. If the request was made by telephone (urgent), 
a copy of the Memorandum for Record prepared to summarize the call will 
be used.
    (ii) The loan agreement.
    (iii) The surety bond (with cash, certified check, US treasury 
bonds, or adequate bond from a bonding company).
    (iv) The approving authorization to make the loan.
    (v) DD Form 1348-1 used for shipping the items.
    (vi) A master loan register with the loan control number and 
shipping document number.
    (b) Shipment of Loaned Materiel. (1) Loaned Army materiel will be 
shipped only to the chief of the borrowing activity or to a designee 
authorized to receive and sign for the materiel. To keep the materiel 
out of unauthorized hands, consignees (receivers) will be advised of the 
items and quantities to be loaned; the source of supply; whether the 
items are to be picked up or shipped; and of shipments made.
    (2) All shipments of loaned equipment will be documented on DOD 
single line item ``release or receipt'' document (DD Form 1348-1). These 
will be initiated by the lending accountable property officer. Packing, 
crating, handling, estimated transportation costs, and serial numbers 
(if applicable) of items shipped will be shown on all copies. The 
consignee will be given advance copies of the DD Form 1348-1 as notice 
of shipment, and a list of DD Form 1348-1 document numbers. For loans to 
non-DOD activities two copies of the certificate below will be prepared 
by the accountable property officer (see fig. 1). It will accompany the 
DD Forms 1348-1.
    ``I certify receipt of and assume responsibility for the Army 
materiel listed on DD Form 1348-1. Control numbers on DD Form 1348-1 
follow. The items were received in good condition except as noted on the 
DD Form 1348-1. Serial numbers have been verified (omit if not 
applicable).''

________________________________________________________________________
Signature of responsible officer
________________________________________________________________________
Typed name of responsible officer
________________________________________________________________________
Address of responsible officer
________________________________________________________________________
Date certificate was signed

                  Figure 1. Sample receipt certificate

    (3) One copy of each signed DD Form 1348-1 (for non-DOD activities, 
one copy of the signed certificate) will be returned to the accountable 
property officer. Also, one copy of each will be kept in the borrower's 
file.
    (4) The installation or depot transportation officer is responsible 
for coordinating movement of the items that must be shipped.
    (5) Shipments, including those to foreign countries, will be made on 
commercial bills of lading (CBL). Freight charges will be paid by the 
borrower. The CBL will cite proper project codes. NOTE: In emergencies 
where use of CBL would delay shipment, government bills of lading (GBL) 
may be used subject to later reimbursement. Shipments to Boy Scout World 
Jamborees in foreign countries will be by GBL unless otherwise specified 
by the Boy Scouts.
    (6) Shipments will be consolidated to the maximum to get the lowest 
charges available.
    (7) Separate shipping instructions will be provided for each 
recipient, convention, jamboree, etc., to ensure correct consignee and 
railhead addresses.
    (8) Transportation will be at no expense to the government. The 
Defense Transportation Services (Military Sealift Command, Military 
Airlift Command, and Military Traffic Management Command) will send all 
billings for such transportation costs to the US Army Finance and 
Accounting Center (USAFAC). The USAFAC will then bill the fiscal station 
servicing the accountable property office that made the loan. This 
fiscal station will then bill the borrower for these transportation 
costs. Army materiel loaned to non-DOD activities is not authorized for 
oversea movement on a space available basis by MSC or MAC without their 
prior approval.
    (c) Receipt of Borrowed Property. (1) The person authorized to 
receive the materiel (whether shipped or picked

[[Page 523]]

up) will check the quantities received against the quantities shown on 
the DD Form 1348-1. This person will also verify the condition of the 
materiel. Any variation in quantity or condition must be resolved at 
once. If the shortage or damage is not due to a common carrier, the 
borrower will give the accountable property officer the National Stock 
Number, document number, and an explanation of the variation at once. 
This establishes a basis for assessing charges on termination of the 
loan. Replacement shipments, when required, will be covered by a DD Form 
1348-1. All variations will be noted on the reverse side of the bill of 
lading.
    (2) When a DD Form 1348-1 has not been received by the borrower and 
does not accompany the shipment, an informal report will be made to the 
accountable property officer at once. It will include the nomenclature, 
quantities, condition, and if applicable, the model numbers and serial 
number of all material received.
    (3) When shipment has been verified, the borrower (or designee) will 
enter the quantity received on two copies of the DD Form 1348-1. Serial 
numbers will also be entered for serial numbered items. The completed 
copies of the DD Form 1348-1 will be signed by the authorized person. 
One copy of the DD Form 1348-1 and one copy of the signed certificate 
(receipt of the materiel) will be returned to the accountable property 
officer.
    (4) If shipments are received damaged or short, take action 
described in Sec. 623.4(g).
    (d) Accounting by Borrower. Non-DOD borrowing activities should 
maintain a system of jacket files. This should include copies of all 
documents that authorize the loan of materiel and relate to loan 
transactions. Such files will insure return of materiel within the 
approved loan period. Files should be retained for audit or any other 
purpose as required. These files may be destroyed upon turn in of the 
borrowed materiel, final completion of accounting, and reimbursement for 
Army costs related to the loan. DOD borrowers will conform to the 
requirements contained in existing regulations.
    (e) Return of Borrowed Materiel--(1) General. (i) Borrowed materiel 
will be returned to the Army in the condition received, less fair wear 
and tear, unless the terms of agreement specify otherwise.
    (ii) Property for which repair cost is claimed will be held at the 
Army depot or installation until final charges are determined and a 
release is given by respective property officers.
    (iii) Return of materiel loaned to rifle clubs and schools will 
conform with Sec. 623.5.
    (2) Accountable property officer actions. (i) At the end of a loan 
period, recall, or upon notice by the borrower that the loaned materiel 
is no longer needed, the accountable property officer will send a letter 
of instruction to the borrower for return of the materiel. He will 
verify or modify the turn-in instructions provided in the loan 
agreement.
    (ii) These procedures will be used by accountable property officers 
to terminate loans:
    (A) For loans up to 30 days no specific termination action is 
necessary except when materiel is not returned by the loan due date. 
Then, a written loan termination notice will be sent to the borrower. A 
follow-up notice will be sent every 15 days until the materiel is 
returned or other settlement is made.
    (B) For all other loans 15 days before the loan is due, a loan 
termination notice will be sent by the lending activity to the borrower 
verifying (or modifying) the turn-in instructions.
    (C) Follow-up of loan termination notice will be made every 15 days 
until the materiel is returned or other settlement is made.
    (iii) After receiving inspection reports (Sec. 623.4(e)(3)) and 
final shipment receipts, the accountable property officer will clear the 
loan records.
    (iv) The accountable property officer will then advise the borrower 
of the transaction completion by furnishing receipted copies of the 
receiving document(s).
    (v) The accountable property officer will notify the servicing 
finance and accounting office (FAO) of any reimbursement required.
    (3) Actions by the receiving installation, depot, or arsenal. (i) 
The installation,

[[Page 524]]

depot, or arsenal receiving activities will inspect returned materiel.
    (A) If the quantity received differs from the quantity shipped, the 
actual quantity received will be entered on the DD Form 1348-1.
    (B) If the condition of the property differs from that noted on the 
DD Form 1348-1, the variation will be stated.
    (ii) Loaned materiel returned in an unserviceable condition will be 
inspected by qualified technical inspectors at installation level and by 
quality assurance activities at depots to determine condition code.
    (A) If the condition of returned materiel is the same as noted on 
the receipt document or the prepositioned materiel receipt card, the 
item will be processed as a normal receipt.
    (B) If there is a discrepancy in the actual condition of the item or 
in the assigned code on the receipt document, obtain an estimate of 
repair cost and continue normal receipt documentation processing.
    (C) The receiving depot or installation will prepare an Inspection 
and Surveillance Report for each returned item that needs repair. Cards 
will also be prepared for shortages. The cards will include the cost of 
equipment repair or the value of shortage. A minimum of two copies of 
each report will be sent to the proper acountable property officer.
    (f) Loan Inventories. (1) If a loan has been approved or extended 
(by the SA) for a period longer than 1 year, the accountable property 
officer will inspect and reconcile loan accounts with the borrower at 
the end of each 12-month period.
    (2) If no discrepancies are noted, the accountable property officer 
will file the signed annual inventory form in the borrower's memorandum 
receipt jacket file.
    (3) If the inventory shows that amounts and kinds of Army materiel 
for which the borrower is responsible differ from that actually in his 
possession, the accountable property officer will--
    (i) For overages, assume accountability for the overages noted on 
the annual inventory form. Use a copy of the annual inventory form as a 
debit voucher to the account. No approval of this voucher is needed.
    (ii) For shortages, act to obtain reimbursement for the value of the 
missing property or to adjust the discrepancy by report of survey.
    (g) Lost, Damaged, and Destroyed Materiel. (1) When loss or damage 
occurs during shipment, DOD and Federal agencies will refer to AR 55-38 
for specific instructions.
    (2) Damage or loss which is the fault of the carrier will be billed 
to the carrier after reconciliaton.
    (3) Army materiel lost, damaged, or destroyed while in the 
possession of rifle clubs or schools will be handled as described in 
Sec. 623.5.
    (4) Any Army materiel loaned at the request of an FDAA Regional 
Director which is not returned according to instructions in this chapter 
will be reported to the borrower and to the FDAA Regional Director. The 
latter will arrange for proper reconciliaton and reimbursement.



Sec. 623.5  Loan of arms and accouterments.

    (a) General. (1) Loan of arms and accouterments requires special 
processing and handling. Loans to DOD and non-DOD activities will be 
handled as a normal loan according to instructions in this section with 
the added requirement of maintaining serial number visibility. Loans of 
arms and accouterments as included herein are not applicable to Army 
National Guard (ARNG).
    (2) The Commanding General, Armament Readiness Command (ARRCOM) 
(ATTN: DRSAR-MMS) has been designated by Commanding General, Materiel 
Development and Readiness Command (DARCOM), as being responsible for 
keeping a centralized serial number visibility record for all small arms 
made for the Army. ARRCOM maintains accountable property records for 
loans to organizations such as the Director of Civilian Marksmanship 
(DCM); and for loans to non-DOD activities such as the Federal Bureau of 
Investigation (FBI), United States Secret Service (USSS), United States 
Customer Service (USCS); or rifle clubs, educational institutions, and 
veterans' organizations.

[[Page 525]]

    (3) Requests for loan of arms which are type classified standard 
(logistics control code A or B) will be filled with the lowest type 
classified items available.
    (4) Borrowers of Army arms will be fully responsible for the care, 
custody, and proper use of loaned materiel. Physical security measures 
must be equal to or greater than the minimum requirements set forth in 
Army Regulation 190-11 and Army Regulation 190-49.
    (5) If borrowed arms are lost, stolen, or unaccounted for, the 
borrower must inform the lender (accountable property officer), the 
local police, and the FBI within 24 hours after discovery.
    (6) This regulation does not apply to arms issued to Reserve 
Officers Training Corps units under the National Defense Act. Army 
Regulation 710-2 is applicable.
    (b) Loans to Civilian Activities (Other Than Rifle Clubs and 
Educational Institutions). (1) Arms and accouterments may be loaned by 
the Army to civilian authorities and to civilian activities as follows: 
(Sec. 623.5(c) covers rifle clubs and institutions.)
    (i) For use in protection of public money and property (10 U.S.C. 
4655).
    (ii) Obsolete or condemed rifles (not more than 10), slings, and 
cartridge belts may be loaned to local units of any national veteran's 
organization for use by that unit in ceremonies. (For example, a funeral 
for a former member of the armed forces.) The organization must be 
recognized by the Veterans' Administration (VA) (10 U.S.C. 4683).
    (iii) Arms and accouterments loaned to organizations listed in Sec. 
623.5(c)(1) for a period of 1 year or less will be accounted for by 
ARRCOM. Loans of items that exceed 1 year will be accounted for by the 
DCM under Sec. 623.5(c).
    (2) Requests for loan (or extension of loan) of Army arms and 
accouterments will be sent by requesting agencies through HQDA (DALO-
SMD), (para 2, app B) to the Secretary of the Army. Requests received 
outside of this channel will be returned to the originator for direct 
submission to the address above.
    (3) Requests approved by the Secretary of the Army (or Under 
Secretary) will be sent to ARRCOM, (para 12 app B) Rock Island, IL 
61299, for completion of a formal loan agreement and issue of items.
    (4) Requisitioning, accounting, and reimbursement procedures are 
given in Sec. 623.4. However, upon receipt of signed copies of DD Form 
1348-1 with the listing of verified serial numbers from the consignee, 
the ARRCOM Arms and Accouterments Property Officer will send the 
required transaction data to the DOD Small Arms Serialization Program 
(DODSASP) at ARRCOM. These data will indicate that the small arms on 
loan to other Government agencies are accounted for under DOD Activity 
Address Code W52P41.
    (5) Shipment and returns are described in Sec. 623.4 except as 
follows:
    (i) The responsible property officer for materiel or loan will 
request disposition instructions from the accountable property officer 
when loaned materiel is no longer needed or at the end of the loan 
period. Loaned materiel may be withdrawn from the borrowing activity at 
any time to satisfy military requirements.
    (ii) The accountable property officer will:
    (A) Issue shipping instructions for the return of property to a 
designated installation. The letter of instruction will contain a 
MILSTRIP document number (AR 725-50) for each line item scheduled for 
return to be used for the shipment. The shipper will be directed to cite 
this document number on the shipping document.
    (B) Prepare and submit to the receiving installation a prepositioned 
materiel receipt card (DOD Materiel Receipt Document (DD Form 1486)) 
(Document Identifier DWC) as advance notice of the shipment.
    (1) Exception data will be annotated as follows: ``Return of Loan 
from Other Government Agency--Report Receipt of Arms and Accouterments 
Accountable Property Officer, ATTN: DRSAR-MMD.''
    (2) A copy of the letter of shipping instructions (paragraph 
(b)(5)(ii) of this section) will be inclosed with the prepositioned 
materiel receipt card for information.
    (iii) Upon receipt at the receiving installation, property will be 
inspected

[[Page 526]]

immediately. Cost of repairing unserviceable items and cost of 
replacement, if irreparable, will be determined at time of inspection. 
The MILSTRIP receipt card will be mailed to the accountable property 
officer with estimated damage cost and detailed materiel condition as 
exception data.
    (iv) Upon notification of materiel receipt, the accountable property 
officer will:
    (A) Clear the loan record with a credit entry and process the 
receipt to the inventory records as an increase on hand to asset 
balance.
    (B) Furnish receipted copies of the receiving document to the 
consignor and the responsible property officer closing the transaction.
    (c) Loans to Rifle Clubs and Educational Institutions--(1) 
Authorization. Arms and accouterments may be loaned to rifle clubs and 
educational institutions for periods established in table 2-2 under the 
following conditions:
    (i) Rifled arms may be loaned to civilian rifle clubs for promotion 
of marksmanship training among able-bodied US citizens (10 U.S.C. 4308).
    (ii) Arms, tentage, and equipment, as the Secretary of the Army 
deems necessary, may be loaned to an educational institution to provide 
proper military training where there is no ROTC, but there is a course 
in military training prescribed by the Secretary of the Army and there 
are at least 100 physically fit males over 14 years of age (10 U.S.C. 
4651).
    (iii) Magazine rifles and appendages may be loaned to schools having 
a uniformed corps of cadets of sufficient number for target practice. 
Models loaned must not be in use at the time, or needed for a proper 
reserve supply (10 U.S.C. 4652).
    (iv) Ordnance and ordnance stores may be loaned to Washington, DC, 
high schools for military instruction and practice (10 U.S.C. 4653).
    (v) Obsolete ordnance and ordnance stores may be loaned to 
educational institutions and to State soldiers', sailors', and orphans' 
homes for drill and instruction if recommended by the Governor of the 
state or territory concerned (10 U.S.C. 4685).
    (2) Director of Civilian Marksmanship (DCM). The President may 
detail an officer of the Army or Marine Corps as Director of Civilian 
Marksmanship (10 U.S.C. 4307). The DCM is responsible for--
    (i) Control and accountability of Army materiel issued to civilian 
rifle clubs;
    (ii) Policies and procedures for the issue of arms and ammunition to 
civilian rifle clubs; and
    (iii) Ensuring proper bonding of clubs before issue of Army 
materiel. The Secretary of the Army has further made the DCM similarly 
responsible for loans to institutions (schools).
    (3) Property transactions. US Army Armament Materiel Readiness 
Command (ARRCOM) will transfer accountability for materiel shipped to 
civilian rifle clubs and institutions to the DCM. The DCM will keep a 
mission stock record account for these items as shown in Army Regulation 
710-2. In addition, the account will note all property transactions 
between the DCM and civilian rifle clubs and institutions as follows:
    (i) Loan and return of arms and accouterments to (from) civilian 
rifle clubs and institutions will not be posted to the accountable 
record as loss or gain vouchers. They will be posted as ``loan 
transactions'' with the DCM retaining accountability. In addition to 
debit, credit, and adjustment voucher files, the DCM accountable 
property officer will keep a ``loan voucher'' file in two sections; 
e.g., ``active'' and ``terminated.''
    (A) The active section (suspense for items on loan) will contain DD 
Form 1348-1 or a letter acknowledging receipt of the items. (The 
signature of the borrower will be according to paragraph (4) (v) or (vi) 
of this section.) This section will contain a folder for each activity 
serviced by the DCM. The active loan vouchers will be filed in National 
Stock Number and voucher number sequence. This section serves as the DCM 
loan record.
    (B) The terminated section (for items no longer on loan) will 
contain the original loan shipping document (loan voucher). The return 
receipt document which terminates the loan will be attached. The receipt 
document will contain the original shipping document

[[Page 527]]

number and the return advice code ``IQ.''
    (ii) Shipments of expendable items (e.g., ammunition, targets, etc.) 
will be posted as a credit to the accountable record. Accountability 
will be dropped (These items are deemed to have been consumed at the 
time of issue).
    (iii) Expendable items returned by rifle clubs and institutions will 
be posted to the accountable record as a debit voucher. The DCM will 
determine disposition of these items.
    (4) Requisition procedures. (i) The DCM will prepare requisitions 
based on information from the rifle clubs or institutions. DA Form 1273 
(Requisition for Articles Authorized for Issue to Civilian Rifle Clubs) 
will be used. Two completed copies of the requisition will be sent to 
the requester.
    (ii) The rifle club or institution will complete the form and return 
one signed copy to the DCM, HQDA, Secretary Field Directorate 
Marksmanship (SFDM), (para 7, app B) and keep one copy for file.
    (iii) On receipt of the signed copy of DA Form 1273, the DCM will 
take proper issue action. When more arms are required by the DCM, a DD 
Form 1348 will be prepared and sent to the Secretary of the Army for 
approval (AR 725-50).
    (iv) The supply source responsible for the loan will ship the 
materiel directly to the rifle club or school.
    (v) DD Forms 1348-1 received with the shipment or by mail, will be 
annotated and signed by the person authorized to receive and sign for 
property for the rifle club or school. The quantity and condition of the 
items received will be entered thereon. This entry will be based on a 
physical check and inspection of the materiel. Serial numbers of items 
received (if applicable and not noted) will also be entered. Two of the 
completed copies will be signed by the person authorized to sign for the 
club or institution. They will be mailed to the DCM, HQDA Secretary 
Field Directorate Marksmanship (SFDM). The third completed copy will be 
kept in the unit's file.
    (vi) If a DD Form 1348-1 is not received with the shipment or is not 
received by mail, a receipt letter will be sent to the DCM. It will set 
forth the nomenclature, quantities, condition, and serial numbers (of 
serial-numbered items) of all property received. This letter will be 
sent as soon as possible after receipt of the property. The receipt 
letter will be used by the DCM as a loan voucher. One copy will be 
recorded in the voucher register and placed in the voucher file. The 
loan action will be posted to the DCM stock record account.
    (5) Property returns. When property is returned by civilian rifle 
clubs or institutions, the DCM will prepare seven copies of the DD Form 
1348-1. Five copies will be mailed to the rifle club or institution; one 
will be kept in suspense in the club's or institution's jacket file; and 
one will be sent to the US Army Management Systems Support Agency 
(USAMSSA), Wash., DC 20310, to update the ``rifles intransit program.'' 
The rifle club or institution will enter on the five copies the shipment 
date, how shipped, the quantity shipped, and other necessary data not 
entered by the DCM and distribute the five copies as follows:
    (i) Two copies to the consignee (receiving depot, arsenal, or 
installation). One copy of the DD Form 1348-1 received by the consignee 
will be used to tally the shipment and to account for property received. 
The other copy will be signed by the accountable property officer (or 
representative) and will be sent to the DCM to terminate the open 
receipt in the loan voucher file.
    (ii) One copy with the shipment.
    (iii) One copy to the DCM, HQDA (SFDM), accompanied by the bill of 
lading (where available).
    (iv) One copy retained by the rifle club or institution.
    (6) Lost, damaged, or destroyed property. Loss, damage, or 
destruction of property in the possession of a rifle club or institution 
will be reported within 24 hours by telephone to the DCM (202-693-6460), 
the local police, and the FBI. All public and local laws must be 
complied with. Rifles and other equipment (except ammunition) that 
becomes unserviceable will be reported to the DCM by the club or 
institution. The DCM will give instructions for return of the equipment 
without expense to the government. Any equipment damage or loss that is 
the fault

[[Page 528]]

of the club or institution will be determined by a report of survey (AR 
735-11). The club or institution must then reimburse the DCM. The DCM 
may replace damaged equipment after reimbursement. Government property 
lost or destroyed without fault or neglect on the club's part will be 
replaced, if replacements are available. The club will pay only shipping 
and handling charges.

[AR 700-131, 45 FR 62038, Sept. 18, 1980; AR 700-131, 61 FR 45890, Aug. 
30, 1996]



Sec. 623.6  Reimbursement for loan of Army materiel.

    (a) Reimbursement Policies and Procedures--(1) Policies. (i) DA 
elements do not program for costs related to loan of Army materiel.
    (ii) Loans to non-DOD Federal activities are made on the basis that 
there will be no extra cost to the Army. Costs that are in addition to 
normal Army operating expenses will be reimbursed by the borrower. This 
provision will be a part of the loan agreement.
    (iii) In cases of aircraft piracy, civil disturbance, disaster 
relief, or protection of the President or visiting dignitaries, 
emergency support will not be withheld for lack of a formal 
reimbursement agreement. In these cases, the supporting Army element 
will absorb initial costs (within existing fund availability). 
Reimbursement will be coordinated later.
    (iv) Loans made under the provisions of Title 10 U.S.C. 2667 will 
provide that the borrower must pay a fair monetary rental. The fair 
monetary rental will be determined on the basis of prevailing commercial 
rates or computed by sound commercial accounting practices including a 
return on capital investment and administrative cost as well as 
depreciation. Leases made under this code section will include a 
provision establishing the rental cost of the materiel and method of 
payment.
    (v) The Army National Guard (ARNG) is responsible for reimbursement 
of costs, over and above normal DA operating expenses, related to the 
borrowed Army materiel.
    (vi) Support to the United States Secret Service (USSS) will be on a 
reimbursable basis except for costs directly related to protection of 
the President or Vice President. Requests for reimbursement for all 
other support for USSS will be according to AR 37-27.
    (vii) The cost of emergency support will be billed directly to the 
recipient.
    (2) Procedures. (i) The Army accountable property officer handling 
the loan of DLA stock fund items will coordinate DLA billings and 
borrower reimbursement. The borrower can make payment directly to the 
Defense Stock Fund.
    (ii) Installation financial accounting for ``accounts receivable'' 
will conform with Army Regulation 37-108.
    (iii) The finance and accounting office (FAO) supporting the 
supplying accountable property officer will record all charges, 
including accounts receivable of Army Stock Fund offices (or branch 
offices), in separate ledger accounts for each borrower.
    (iv) Charges and collections recorded in each loan account will be 
reported per Army regulations and directives prescribing the reporting 
of the fund status in any current fiscal year.
    (v) Billing will be initiated on Standard Form 1080, and sent to the 
borrower within 30 days of turn-in of materiel and loan termination. For 
loans of arms and accouterments and issue of ammunition pursuant to 10 
U.S.C. 4655, the Standard Form 1080 will be annotated to show that 
collections are to reimburse DA appropriations.
    (vi) Special appropriations established to support disaster relief 
will be used promptly by Army commanders concerned to ensure that all 
direct expenses are charged to the special appropriation. Exclude those 
charges subject to reimbursement by the American National Red Cross 
(ANRC). ANRC reimburses for supplies, materiel, and services for which 
they are responsible in the disaster area.
    (b) Reimbursable Costs. Unless specifically stated, borrowing 
agencies, authorities, and activities will reimburse the Army for all 
costs related to loan of Army materiel to include but not limited to the 
following:
    (1) Any overtime pay and pay of additional civilian personnel 
required to accompany, operate, maintain, or safeguard borrowed 
equipment.

[[Page 529]]

    (2) Travel and per diem expenses of Army personnel (military and 
civilian).
    (3) Packing, crating, handling, and shipping from supply source to 
destination and return. This includes port loading and off loading.
    (4) All transportation including return for repair or renovation.
    (5) Hourly rate for the use of Army aircraft.
    (6) Petroleum, oil, and lubricants (POL) (including aviation fuel).
    (7) The cost of materiel lost, destroyed, or damaged beyond 
economical repair except for Army aircraft, motor vehicles, or motor 
craft used in connection with aircraft piracy.
    (8) Utilities (gas, water, heat, and electricity). Charges will be 
based on meter readings or other fair method.
    (9) Any modification or rehabilitation of Army real property which 
affects its future use by DA. In such cases the borrower will also bear 
the cost of restoring the facility to its original form.
    (10) Repair/overhaul of returned materiel. Renovation and repair 
will conform with agreement between the Army and the borrower. (See 
paragraph (e)(1) of this section.)
    (11) Repair parts used in maintenance or renovation.
    (12) Price decline of borrowed stock fund materiel at which returned 
property can be sold.
    (c) Nonreimbursable Costs. The following costs are normal operating 
expenses of the Army for which no reimbursement is required:
    (1) Regular pay and allowances of Army personnel (except travel) and 
per diem costs.
    (2) Administrative overhead costs.
    (3) Annual and sick leave, retirement, and other military or 
civilian benefits except as provided in certain cases; e.g., Army 
Industrial Fund regulations.
    (4) Telephone, telegram, or other electrical means used to 
requisition items, replenish depot stocks, or coordinate the loan.
    (5) Charges for the use of Army motor vehicles and watercraft except 
POL and per diem costs (paragraph (b) of this section).
    (6) The use of real property (except as required for utilities, 
modification, etc.).
    (d) Funding Records. (1) Records of all costs (other than normal 
operating expenses), related to loans of Army materiel, will be kept at 
the accountable property officer level by the supporting finance and 
accounting office. This will be done within existing Army financial 
accounting systems.
    (2) Separate subsidiary general ledger accounts and/or files of 
documents showing the total value of all issues and materiel returned 
for credit, and supporting documentation will be set up by the finance 
and accounting office. The accounts will be kept current for each loan 
action so reports may be made as prescribed; and so that accounts 
receivable can be processed for billing and collection action.
    (e) Determination of Charges and Settlement. (1) Returned materiel 
will be promptly classified by a qualified inspector with action as 
follows:
    (i) Materiel classified as unserviceable, uneconomically reparable 
will be billed at 100 percent of value.
    (ii) Materiel classified as unserviceable, economically reparable 
will be billed for reduced utility (if appropriate) as well as for 
repair/overhaul costs.
    (iii) The depreciation of borrowed materiel will be determined by 
technical inspectors according to Army Regulation 735-11. When qualified 
inspectors are not available, returned property will be received with 
``condition'' shown as ``subject to final classification by DA.'' 
Accountable property officers will complete classification promptly so 
charges and billing can be made within 30 days of return of materiel.
    (2) All returned property which needs repair will be examined by a 
technical inspector to find cost of repair. Then the accountable 
property officer will prepare a property transaction record with 
supporting documents. These records will be sent to the proper MACOM 
commander or CINC of UCOM for final review. They will include--
    (i) A statement on the transaction record identifying the financial 
account to which the reimbursement money is to be deposited.

[[Page 530]]

    (ii) A statement on the transaction record (if appropriate) as 
follows: ``The losses and/or damages shown on the Property Transaction 
Record in the amount of $------ represent the total claim by the US Army 
for property loaned to ----------------. Upon settlement and deposit to 
the proper account, lender releases the ---------------- from further 
obligations.''
    (iii) A description of the type and degree of repair (separate 
addendum).
    (3) After the final review, an approved list of charges will be sent 
to the servicing finance office for collection. The property will be 
released for repair and returned to stock.
    (4) The finance office will send a letter to the borrower requesting 
payment (payable to the Treasurer of the United States). Upon payment, 
collection documents will be prepared and fiscal accounts credited. The 
MACOM or UCOM Surgeon will ensure the stock fund is reimbursed for 
expendable medical supply losses reported.
    (5) The finance office will advise the loaning accountable property 
officer that settlement has been made. Property transaction records will 
be closed.
    (6) The approving authority will then return the bond to the 
borrower.
    (7) The value of supplies and equipment returned to the Army will be 
credited to the account originally debited at the time of issue. FDAA 
Regional Directors may find that it is not in the public interest to 
return borrowed materiel that has not been consumed, lost, or damaged. 
They will negotiate with the CONUS Army concerned for proper 
reimbursement for the borrowed materiel not returned.
    (f) Delinquent and Uncollectable Accounts. (1) In cases of 
unsatisfactory settlement, bond proceeds will be used to satisfy the 
claim.
    (2) If this does not settle the account, then 6 months after the 
final report and after all collection efforts have failed--
    (i) Servicing finance offices will send delinquent ``accounts 
receivable'' reports to commanders of CONUS Armies and DARCOM readiness 
commands, and to CINCs of UCOMs, by forwarding--
    (A) Duplicate copies of Standard Form 1080 billing documents showing 
complete accounting classification to which reimbursement is to be 
credited.
    (B) Duplicate copies of all supporting documents.
    (C) One copy of any correspondence showing the reason(s) for 
nonpayment of the account.
    (ii) The CONUS Army Commanding General, CINC of UCOM, or Commanding 
Generals of DARCOM Materiel Readiness Commands, will also try to collect 
for these delinquent accounts. If all efforts fail, these accounts, 
(with any delinquent accounts applicable to billings initiated within 
their own headquarters) will be sent to the Director of Comproller 
Systems, HQDA (DACA-BUS). (Para 1, app B). The letter of transmittal 
will state that the accounts are transferred according to this 
regulation. A copy will be sent to the FAO handling the accounts. The 
FAO will then transfer the account to inactive status. A Standard Form 
1017G (Journal Voucher) will be prepared showing a debit to account 3052 
(Transfer of Accounts Receivable) and a credit to the proper accounts 
receivable.
    (iii) Appropriations available to the accountable property officer 
or installation will be used for reimbursing; e.g., the Army Stock Fund 
or Army Industrial Fund accounts. Any later reimbursements received will 
be credited to the Army appropriation from which payment was made.
    (3) Upon receipt of the accounts included in paragraph (f)(2) of 
this section, the Comptroller, HQDA (DACA-BUS), will take further 
collecton action under normal operating procedures. All later collection 
action is the responsibility of the Comptroller. Accounting records and 
reports will conform with normal procedures. When further collection 
effort by the Comptroller fails, these accounts will be dropped from 
receivable balances of the Army. They will be referred to the General 
Accounting Office (GAO).



Sec. 623.7  Reports.

    (a) General. Reports of Army materiel loaned to non-DOD activities 
must be forwarded as described below.

[[Page 531]]

    (b) Aircraft Piracy. (1) Commands and agencies providing aircraft 
piracy support will initially report through command channels by 
telephone to the HQDA, (DAMO-ODS). (Para 4, app B.) Confirmation will be 
made by electrically transmitted message to HQDA, ATTN: DAMO-ODS. These 
reports are exempt from reports control under Army Regulation 335-15. 
Initial reports will include all available details. Following is a guide 
for content of reports.
    (i) Supporting unit.
    (ii) Home station of supporting unit.
    (iii) Support provided and duration of requirement.
    (iv) Changes, if any, in support requested or duration of 
requirement as made by the Federal civil official in charge.
    (v) Additional remarks.
    (2) A final report noting termination of support will be made.
    (c) Civilian Rifle Clubs and Schools. (1) Each affiliated club and 
institution (schools) must file an annual report (DA Form 1277, Annual 
Statistical Report of Civilian Rifle Club) on the anniversary date of 
the loan with the DCM.
    (2) A roster of club members will list each member required to fire 
annually. It will include the full name, address, and age; the DCM 
course; score; and the date the member fired for record.
    (3) A description of the club's procedures and facilities for 
safekeeping arms and ammunition will be appended to the roster of club 
members.
    (d) Civil Disturbances. (1) Requests to meet civil disturbances are 
of two types:
    (i) Type I--Requests to meet an urgent need during an actual 
disorder.
    (ii) Type II--Requests in anticipation of an imminent civil 
disorder.
    (2) Approving authorities, other than the Secretary of the Army, 
will prepare reports (RCS DD-A(AR)1112) on all requests for loan of Army 
materiel to support civil disturbances. The reports will be sent within 
2 working days after receipt of the request. They will be prepared in 
the format shown in Army Regulation 500-60. They will also serve as 
``the request'' when no other written request is available.
    (3) The reports will be sent to the (HQDA (DAMO-ODS)). When reports 
are received from unified or specified commands, ODCSOPS will send an 
information copy to the Joint Chiefs of Staff (JCS) National Military 
Command Center (NMCC).
    (4) The Secretary of the Army will send information copies of civil 
disorder reports to the DOD General Counsel and the US Deputy Attorney 
General.
    (5) Reports of civil disturbance operation costs (RCS DD-A(AR)1112) 
also will be prepared as shown in Army Regulation 500-60.
    (e) Disaster Assistance. When Army materiel is loaned in support of 
disaster assistance, CONUS Army Commanding Generals and UCOM CINCs will 
send reports as follows:
    (1) Initial reports. Initial reports will be made by telephone to 
the Commanding General, FORSCOM (AUTOVON 588-3912), who will, in turn, 
telephone the report to the Military Support Division, ODCSOPS, AUTOVON 
225-2003 or 7045). This will be followed within 12 hours by a Tempest 
Rapid Materiel Report in message form and sent electrically. The message 
report will be prepared according to Army Regulation 500-60.
    (2) Daily message reports. Tempest Rapid Daily Materiel Reports of 
Army materiel loaned to support disaster relief will also be sent by 
electrically transmitted message. The reports will cover the 24-hour 
period from 0601Z to 0600Z. The reports must arrive at the HQDA (DAMO-
ODS), no later than 1100Z the same day. Daily reports will be sent 
according to the format in Army Regulation 500-60 except that part III 
will not be included. Also, ``no change reports'' may be made by 
telephone. On the day of the last daily message report include the words 
FINAL DAILY REPORT in the subject line.
    (3) Final reports. In addition to the final Tempest Rapid Daily 
Materiel Report, a final report on military assistance provided will be 
sent within 45 working days of termination of disaster assistance. The 
CONUS Army Commanding General will send the report by 1st Class Mail 
through the Commanding General, FORSCOM, to the HQDA (DAMO-ODS). The 
final report will include--

[[Page 532]]

    (i) An historic account of the disaster.
    (ii) Cumulative totals of support given.
    (iii) A statement of accomplishments.
    (iv) Actual or estimated expenses excluding costs incurred by the 
Corps of Engineers under Pub. L. 84-99. Costs will be reported by 
Service by appropriation, using three columns to identify normal costs, 
incremental costs, and total costs.
    (v) The status of reimbursements requested from borrowing Federal 
agencies, and civilian authorities and activities. If reimbursement has 
not been completed by the date of the final report, a separate cost 
report will be sent upon final reimbursement payment.
    (vi) Lessons learned.
    (4) Information copies. Information copies of all reports will be 
sent to the proper HUD Regional Directors for FDAA and DCPA Regional 
Offices.
    (5) Additional information. Additional information may be needed by 
Federal officials. Normally, such requests will be telephoned by ODC 
SOPS Military Support Division to the Commanding General, FORSCOM.
    (6) Pollution spills. The Commanding General, FORSCOM, will report 
committal of Army resources to the HQDA (DAMO-ODS), by the fastest 
means. Daily and final Tempest Rapid Materiel Reports will be sent with 
``not applicable'' shown in paragraphs 8, 9, and 10 of the report.
    (f) Drugs and Narcotics Interdiction Program. (1) Army staff 
agencies will submit monthly status reports of actions that support this 
program. The reports will be as of the last day of June and December, 
respectively. Reports will be sent to HQDA (DAMO-ODS), 4 working days 
after the end of the designated months. Reports will summarize all 
support during the period to include pending or terminated support plus 
estimated cost of items.
    (2) Based on information received in these reports, ODCSOPS will 
prepare a report of the drug and narcotics interdiction assistance given 
by the Army. This report will be sent through the Army Chief of Staff to 
the Secretary of the Army.
    (g) United States Secret Service (USSS). Army commands and agencies 
providing materiel support (routine or urgent) to the USSS will report 
any significant problems or deviation from the approved request at once. 
Reports will be telephoned through command channels.
    (h) Other Reports. Active Army accountable property officers will 
make semiannual reports on open loans. The reports will be prepared as 
of the last day of July and December. They will be sent by the 15th day 
of the following month. These reports will include the items on loan, 
quantity, dollar value, and duration of the loans. The reports will be 
sent to the approving authority.

              Appendix A to Part 623--Explanation of Terms

As used in this regulation, the following explanation of terms apply:
Accouterments. Equipment that is associated with small arms 
          characterized as personal and individual that is available 
          from Army stocks.
Approving authority. The person (or designee) authorized to approve 
          specific types of loans of Army materiel. (See table 2-1 and 
          app B.)
Arms. Weapons for use in war.
Civil authorities. Those elected and appointed public officials and 
          employees who govern the 50 States, District of Columbia, 
          Commonwealth of Puerto Rico, US possessions and territories, 
          and governmental subdivisions thereof.
Civil defense. All those activities and measures designed or undertaken 
          to:
    a. Minimize the effects upon the civilian population caused, or 
which would be caused, by an enemy attack upon the United States.
    b. Deal with immediate emergency conditions which would be created 
by any such attack.
    c. Effect emergency repairs to, or the emergency restoration of, 
vital utilities and facilities destroyed or damaged by any such attack 
(JCS Pub 1).
Community relations program. A program of action, to earn public 
          understanding and acceptance, conducted at all levels of 
          military command wherever stationed. The program includes 
          participation in public events, humane acts, and cooperation 
          with public officials and civil leaders (AR 360-61).
Defense Civil Preparedness Agency (DCPA). A defense department agency 
          responsible for plans and preparations for civil defense and 
          assistance to local governments in disaster relief planning.

[[Page 533]]

Department of Housing and Urban Development (HUD). The Federal 
          department responsible for directing and coordinating Federal 
          assistance for major disasters on behalf of the President.
Domestic action program. A program of assistance to local, State, and 
          Federal agencies for the continued improvement and development 
          of society (AR 28-19 and para 4-10, AR 360-61).
Emergency. Any catastrophe in any of the United States which in the 
          determination of the President requires Federal supplementary 
          emergency assistance.
Emergency medical treatment. The immediate application of medical 
          procedures to wounded, injured, or sick, by trained 
          professional medical personnel.
Executive agent. That individual or his designee authorized to act as 
          the US Government's agent in making certain loans of 
          government materiel. The President of the United States has 
          delegated to the Secretary of the Army (or to his designee, 
          the Under Secretary of the Army) authority, as Executive 
          Agent, to approve certain loans of DOD materiel to non-DOD 
          activities. (See table 2-1.) Other ``approving authorities'' 
          act as ``Executive Agents'' for the US Government, but do not 
          have that title.
Federal agency. Any department, independent establishment, government 
          corporation, or other agency of the executive branch of the 
          Federal Government, except the ANRC.
Federal Coordinating Officer (FCO). The person appointed by the 
          President to operate under the HUD Regional Director for 
          Federal Disaster Assistance Administration to coordinate 
          Federal assistance in Presidentially declared emergency or 
          major disaster.
Federal Disaster Assistance Administration (FDAA). The agency within HUD 
          delegated the disaster relief responsibilities previously 
          assigned to the Office of Emergency Preparedness.
Federal function. Any function, operation, or action carried out under 
          the laws of the United States by any department, agency, or 
          instrumentality of the United States or by an officer or 
          employee thereof.
Federal property. That property which is owned, leased, possessed, or 
          occupied by the Federal Government.
Imminent serious condition. Any disaster or civil disturbance which is 
          of such severity that immediate assistance is required to save 
          human life, prevent immediate human suffering, or reduce 
          destruction or damage to property.
Local government. Any county, parish, city, village, town, district, 
          Indian tribe or authorized tribal organization, Alaska native 
          village or organization, or other political subdivision of any 
          State.
Major disaster. Any hurricane, tornado, storm, flood, high water, wind-
          driven water, tidal wave, earth-quake, drought, fire, or other 
          catastrophe which, in the determination of the President, is 
          or threatens to be off sufficient severity and magnitude to 
          warrant disaster assistance by the Federal Government. This 
          assistance supplements the efforts and available resources of 
          States, local governments, and relief organization in 
          alleviating the damage, loss, hardship, or suffering caused 
          thereby.
Objective area. A specific geographical location where a civil 
          disturbance or disaster is occurring or is anticipated.
Routine requests. Requests resulting from situations which are 
          reasonably predictable or do not require immediate action to 
          prevent or reduce loss of life, property, or essential 
          services. Reduced efficiency of the requester's operation is 
          not in itself grounds for classifying a request higher than 
          routine.
Small arms. Hand and shoulder weapons for use in war.
Surety bond. A bond, including dollar deposit, guaranteeing performance 
          of a contract or obligations.
Terrorist incident. A form of civil disturbance which is a distinct 
          criminal act committed or threatened to be committed by a 
          group or single individual in order to advance a political or 
          other objective, thus endangering safety of individuals or 
          property. This definition does not include aircraft piracy 
          emergencies.
Threatened major disaster. Any hurricane, tornado, storm, flood, high 
          water, wind-driven water, tidal wave, earthquake, drought, 
          fire, or other catastrophe which, in the determination of the 
          Administrator, FDAA, threatens to be of severity and magnitude 
          sufficient to warrant disaster assistance by the Federal 
          Government. This assistance will be used to avert or lessen 
          the effects of such disaster before its actual occurrence.
Urgent requests. Those resulting from unforeseeable circumstances, civil 
          disturbances, civil defense needs, aircraft piracy, secret 
          service requirements, and disasters when immediate action is 
          necessary to prevent loss of life, physical injury, 
          destruction of property, or disruption of essential functions.
Youth groups. Youth groups are groups such as the Boy Scouts of America; 
          Girl Scouts of the United States of America; Civil Air Patrol; 
          Camp Fire Girls, Incorporated; The Boy's Club of America; 
          Young Men's Christian Association; Young Women's Christian 
          Association; Four H Clubs; and similar groups.

[[Page 534]]

Appendix B to Part 623--Approving Authority Addresses/Telephone Numbers 
                                    *

B-1. HQDA (DACA-BUS), WASH DC 20310, Telephone: AUTOVON 225-6336, WATS 
202-695-6336;
---------------------------------------------------------------------------

    * Telephone numbers are provided for principal loan approving 
authorities and agencies responsible for specific loans IAW table 2-1.
---------------------------------------------------------------------------

B-2. HQDA (DALO-SMD), WASH DC 20310, Telephone: AUTOVON 227-5960, WATS 
202-697-5960;
B-3. HQDA (DALO-SMW), WASH DC 20310, Telephone: AUTOVON 227-3159, WATS 
202-697-3159;
B-4. HQDA (DAMO-ODS), WASH DC 20310, Telephone: AUTOVON 225-2003, WATS 
202-695-2003;
B-5. HQDA (NGB-ZA), WASH DC 20310, Telephone: AUTOVON 227-2430, WATS 
202-697-2430;
B-6. HQDA (DASG-HCL), WASH DC 20310, Telephone: AUTOVON 227-8286, WATS 
202-697-8286;
B-7. Director, Civilian Marksmanship (SFNB) Room 1E-OM3, West Forrestal 
Building, 1000 Independence Avenue, SW., Telephone: AUTOVON 223-6460, 
WATS 202-693-6460;
B-8. Commander in Chief, US Army, Europe and Seventh Army, APO New York 
09403;
B-9. Commander, First US Army, Fort George G. Meade, MD 20755, 
Telephone: AUTOVON 923-7500, WATS 301-677-7500;
B-10. Commander, Fifth US Army, Fort Sam Houston, TX 78234, Telephone: 
AUTOVON 471-4707, WATS 512-221-4707;
B-11. Commander, Sixth US Army, Presidio of San Francisco, CA 94129, 
Telephone: AUTOVON 486-4110, WATS 415-561-4110;
B-12. Commander, US Army Armament Materiel Readiness Command, ATTN: 
DRSAR-MMS, Rock Island, IL 61229;
B-13. Commander, US Army Armament Research and Development Command, 
Dover, NJ 07801;
B-14. Commander, US Army Aviation Research and Development Command, PO 
Box 209, St. Louis, MO 63177;
B-15. Commander, US Army Communications and Electronics Materiel 
Readiness Command, Fort Monmouth, NJ 07703;
B-16. Commander, US Army Communications Research and Development 
Command, Fort Monmouth, NJ 07703;
B-17. Commander, US Army Communications Security, Logistics Agency, 
ATTN: SELCL-NICP-IM, Fort Huachuca, AZ 86513;
B-18. Commander, US Army Forces Command, Fort McPherson, GA 30330, 
Telephone: AUTOVON 588-2694, WATS 404-752-2694;
B-19. Commander, US Army Health Services Command, Fort Sam Houston, TX 
78234;
B-20. HQDA (DAMH-HS), WASH DC 20314;
B-21. Commander, US Army Military District of Washington, Fort Leslie J. 
McNair, Washington, DC 20319;
B-22. Commander, US Army Missile Materiel Readiness Command, Redstone 
Arsenal, AL 35809;
B-23. Commander, US Army Missile Research and Development Command, 
Redstone Arsenal, AL 35809;
B-24. Commander, US Army Security Assistance Center, ATTN: DRSAC, 5001 
Eisenhower Avenue, Alexandria, VA 22333, Telephone: AUTOVON 284-9638, 
WATS 202-274-9638;
B-25. Commander, US Army Tank-Automotive Materiel Readiness Command, 
Warren, MI 48090;
B-26. Commander, US Army Tank-Automotive Research and Development 
Command, Warren, MI 48090;
B-27. Commander, US Army Test and Evaluation Command, Aberdeen Proving 
Ground, MD 21005;
B-28. Commander, US Army Training and Doctrine Command, Fort Monroe, VA 
23651, Telephone: AUTOVON 680-3112, WATS 804-727-3112;
B-29. Commander, US Army Troop Support and Aviation, Materiel Readiness 
Command, 4300 Goodfellow Boulevard, St. Louis, MO 63120.

[[Page 535]]

Appendix C to Part 623--Agreement for Loan of US Army Materiel (DA Form 
                                 4881-R)
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[[Page 540]]



 Appendix D to Part 623--Certificate for Signature by an Alternate (DA 
                             Form 4881-1-R)
[GRAPHIC] [TIFF OMITTED] TC24OC91.019


[[Page 541]]


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[[Page 542]]



         Appendix E to Part 623--Surety Bond (DA Form 4881-3-R)
[GRAPHIC] [TIFF OMITTED] TC24OC91.021


[[Page 543]]


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[[Page 544]]


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[[Page 545]]



      Appendix F to Part 623--Power of Attorney (DA Form 4881-4-R)
[GRAPHIC] [TIFF OMITTED] TC24OC91.024


[[Page 546]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.025


[[Page 547]]



         Appendix G to Part 623--Continental US Army Boundaries
[GRAPHIC] [TIFF OMITTED] TC24OC91.026

                   Appendix H to Part 623--References

AR 1-4 Deployment of DA Resources in Support of the US Secret Service.
AR 15-17 Army Representation on Office of Preparedness; General Service 
          Administration (OP/GSA) Regional Field Boards in Crisis 
          Management Operations.
AR 28-19 Department of the Army Domestic Action Program.
AR 34-1 United States Army Participation in International Military 
          Rationalization/Standardization/Interoperability (RSI) 
          Programs.
AR 37-27 Accounting Policy and Procedures for Intragovernment, 
          Intradefense; and Intra-Army Transactions.
AR 37-44 Accounting Procedures for Guaranteed Loans.

[[Page 548]]

AR 37-48 Accounting and Reporting for Materiel, Services, and Facilities 
          Furnished Allied Governments and International Organizations 
          Under Emergency or Combat Conditions.
AR 37-60 Pricing for Materiel and Services.
AR 37-111 Working Capital Funds--Army Stock Fund; Uniform Policies, 
          Principles, and Procedures Governing Army Stock Fund 
          Operations.
AR 58-1 Management acquisition and use of administration use motor 
          vehicles.
AR 130-44 Logistical Policies for Support.
AR 190-11 Physical Security of Weapons, Ammunition, and Explosives.
AR 190-49 Physical Security of Arms, Ammunition, and Explosives In-
          Transit.
AR 210-55 Funding Support for Morale, Welfare and Recreational Programs, 
          and Facilities.
AR 230-1 The Nonappropriated Fund System.
AR 350-7 Training and Evaluation of Forces for Civil Disturbances.
AR 360-61 Army Information--Community Relations.
AR 500-1 Aircraft Piracy Emergencies.
AR 500-2 Search and Rescue (SAR) Operations.
AR 500-50 Civil Disturbances.
AR 500-60 Disaster Relief.
AR 500-70 Military Support of Civil Defense.
AR 525-90 Wartime Search and Rescue (SAR) Procedures.
AR 700-32 Logistic Support of US Nongovernmental, Nonmilitary Agencies, 
          and Individuals in Oversea Military Commands.
AR 700-49 Loan of DSA Stock Fund Materiel.
AR 700-83 Army Support of United Seamen's Service.
AR 710-1 Centralized Inventory Management of the Army Supply System.
AR 710-2 Materiel Management for Using Units, Support Units, and 
          Installations.
AR 725-1 Requisition and Issue of Supplies and Equipment--Special 
          Authorization and Procedures for Issues, Sales, and Loans.
AR 725-50 Requisitioning, Receipt, and Issue System.
AR 735-5 Property Accountability--General Principles, Policies, and 
          Basic Procedures.
AR 735-11 Accounting for Lost, Damaged, and Destroyed Property.
AR 795-25 Policies, Responsibilities, and Principles for Supply Support 
          Arrangements.
AR 795-204 Policies and Procedures for Furnishing Defense Articles and 
          Services on a Sale or Loan Basis.
AR 870-15 Historical Activities, Army Art Collection.
AR 870-20 Historical Activities, Historical Properties and Museums.
AR 920-15 National Board for the Promotion of Rifle Practice and Office 
          of Director of Civilian Marksmanship.
AR 920-20 Civilian Marksmanship--Promotion of Practice with Rifled Arms.
AR 920-25 Rifles M14M and M14N for Civilian Marksmanship Use.
AR 930-5 Service Organizations--American National Red Cross Service 
          Program and Army Utilization.
FM 20-150 Combatives.
MOU, 25 Apr 75, between DOD and Department of Agriculture and the 
          Interior.
MOU, 24 Jun 75, between DOD and the American National Red Cross for 
          Military Support.



PART 625_SURFACE TRANSPORTATION_ADMINISTRATIVE VEHICLE MANAGEMENT--Table 
of Contents




Sec.
625.1 Purpose.
625.2 Applicability.
625.3 References.
625.4 OCE policy.
625.5 General.

Appendix A to Part 625--Dependent Travel Waiver of Liability

    Authority: Comptroller General Decision, B-190440, 20 January 1978.

    Source: 44 FR 63099, Nov. 2, 1979, unless otherwise noted.



Sec. 625.1  Purpose.

    This regulation provides guidance, and authorizes dependents to 
accompany a Corps employee on Temporary Duty (TDY) in a Government-owned 
or leased motor vehicle.



Sec. 625.2  Applicability.

    This regulation is applicable to all field operating agencies 
authorized to operate or lease Administrative Use Motor Vehicles.



Sec. 625.3  References.

    (a) Title 31, U.S. Code, section 638.
    (b) Comptroller General Decision, 25 Comp. Gen. 844(1946) B-57732.
    (c) Comptroller General Decision, 54 Comp. Gen. 855(1975) B-178342.
    (d) Comptroller General Decision, B-190440, 20 January 1978.
    (e) DOD Regulation 4500.36-R June 1977.

[[Page 549]]



Sec. 625.4  OCE policy.

    Pursuant to the authorities, penalties and interpretations cited in 
the preceding references, Commanders/Directors of field operating 
agencies may authorize dependents to accompany a Corps of Engineers 
employee during official travel when using a Government-owned or leased 
motor vehicle, providing the following procedures and restrictions are 
adhered to:
    (a) The Commanders/Directors of field operating agencies must make a 
Determination that transportation of the dependent is in ``the interest 
of the Government''.
    (b) A determination of ``the interest of the Government'' is a 
matter of administrative discretion, taking into consideration the 
following limitations:
    (1) The use of motor vehicles shall be restricted to the ``official 
use'' of the vehicles, and any questions concerning ``official use'' 
shall be resolved in favor of strict compliance with statutory 
provisions and policies of this and other pertinent regulations.
    (2) When the travel of the dependent is in ``the interest of the 
Government'' and incidentally provides a convenience to the employee, 
then there can be no objection to the employee's enjoyment of that 
convenience. However, the convenience of itself, provides no 
justification to authorize dependent travel.
    (3) Dependent travel will not be provided or authorized when 
justification is based on reasons of rank or prestige.
    (4) Transportation to, from and between locations for the purpose of 
conducting personal business or engaging in other activities of a 
personal nature by military personnel, civilian officials and employees, 
members of their families or others is prohibited.
    (c) Increased travel time (rest stops) and operational inefficiency 
(added weight) occasioned by the number of dependents to be transported 
will also be considered.
    (d) Dependents must understand and agree never to operate the motor 
vehicle consigned to the employee for official travel.
    (e) Neither the seating capacity nor the size of the motor vehicle 
will be changed or increased to accommodate dependent travel.
    (f) Motor vehicles as used in this regulation applies to all types 
of motor vehicles, owned, consigned to or leased by the Corps of 
Engineers.



Sec. 625.5  General.

    (a) In view of the potential liability the Government could incur by 
allowing dependents to accompany an employee in a government-owned, 
consigned or leased motor vehicle, a Dependent Travel Waiver of 
Liability will be obtained prior to each and every trip. Suggested 
language for such waiver is set forth in appendix A.
    (b) When dependents are to be transported in a GSA rented vehicle, 
an extra signed copy of the Dependent Travel Waiver will be furnished 
the GSA Interagency Motor Pool from which the vehicle is acquired.

      Appendix A to Part 625--Dependent Travel Waiver of Liability

``I ------------------------------------------
                                                     (Name of dependent)
will be accompanying ----------,

                                                      (Name of employee)
who is my ----------------------------------
                                                          (Relationship)
and who is an employee of ----------,

                                                      (Agency, division)

on official Government business in or while using a Government vehicle. 
Dates of travel are from ---------- to ---------- 19----. I do hereby 
knowingly, freely and voluntarily waive any right or cause of action of 
any kind whatsoever, against the United States, arising as a result of 
such activity from which any liability may or could accrue while 
accompanying the above employee in or while using said Government 
vehicle.''

                                                  Signature of dependent

                                                           Notary Public

                                                                    Date

                                                                    Date



PART 626_BIOLOGICAL DEFENSE SAFETY PROGRAM--Table of Contents




                         Subpart A_Introduction

Sec.
626.1 Purpose.
626.2 References.

[[Page 550]]

626.3 Explanation of abbreviations and terms.
626.4 Responsibilities.

        Subpart B_Biological Defense Safety Policy and Procedures

626.5 Policy.
626.6 Mishap reporting and investigation.
626.7 Administrative and work practice controls.
626.8 Etiologic agent containment.
626.9 Inspections.
626.10 Transportaton of BDP etiologic agents.
626.11 General construction plans.
626.12 Maximum credible event (MCE).
626.13 Controls.
626.14 Waivers and exemptions.

                        Subpart C_BDP Contractors

626.15 Written procedures for contractor review.
626.16 Contracting agencies.
626.17 Contractor changes.
626.18 BDP contract requirements.

                    Subpart D_BDP Studies and Reviews

626.19 Assuring maximum safety.
626.20 Special studies.

Appendix A to Part 626--References
Appendix B to Part 626--Glossary Abbreviations

    Authority: 5 U.S.C. 102, 10 U.S.C. 21, 111, 151-158, 42 U.S.C. 216, 
50 U.S.C. 1431; Pub. L. 101-510, 104 Stat. 1516.

    Source: 57 FR 11368, Apr. 2, 1992, unless otherwise noted.



                         Subpart A_Introduction



Sec. 626.1  Purpose.

    (a) This regulation prescribes Department of the Army (DA) safety 
policy, responsibilities, and procedures for biological defense 
research, development, test, and evaluation (RDTE) operations.
    (b) DA Pam 385-69 prescribes the minimum safety criteria and 
technical requirements for the Army biological defense safety program 
and will be used in conjunction with this regulation to establish and 
implement the biological defense safety program.



Sec. 626.2  References.

    Required and related publications are listed in appendix A of this 
part.



Sec. 626.3  Explanation of abbreviations and terms.

    Abbreviations and special terms used in this regulation are 
explained in the appendix B of this part.



Sec. 626.4  Responsibilities.

    (a) The Assistant Secretary of the Army (Installations, Logistics, 
and Environment) (ASA(IL&E)) establishes overall Army occupational 
safety and health policy and maintains oversight of the following--
    (1) All aspects of environment, safety, and occupational health 
statutory compliance.
    (2) Safe biological defense RDTE operations.
    (b) The Assistant Secretary of the Army (Research, Development, and 
Acquisition) (ASA(RDA)). Establishes overall Army RDA policy and will--
    (1) Integrate, coordinate, and manage Army efforts to increase 
effectiveness of biological defense technologies, materiel research, and 
the development and acquisition program.
    (2) Review and validate all future biological defense RDTE facility 
construction or renovation requirements before any organization 
initiates these construction or renovation programs.
    (c) The Director of Army Safety (DASAF), Office of the Chief of 
Staff, Army (OCSA), administers and directs the Army Safety Program as 
specified in AR 385-10. The DASAF will--
    (1) Manage Army-wide safety policy and guidance for biological 
defense RDTA programs as a part of the Army Safety Program.
    (2) Approve all actions that imply or establish a DA safety position 
for biological defense RDTE covered by this part.
    (3) Represent DA on all biological defense RDTE safety studies and 
reviews.
    (4) Develop safety policy and standards for biological defense RDTE 
operations.
    (5) Develop Army level safety program guidance.
    (6) Conduct an annual management review of the biological defense 
occupational safety and health programs of commands with Biological 
Defense Program (BDP) operations and responsibilities, to ensure 
consistency with DA policy.

[[Page 551]]

    (7) Conduct biological defense safety evaluation visits, and advise 
the Army Staff (ARSTAF) of concerns, trends, and needed corrective 
actions.
    (8) Develop policies and provide guidance for executing the 
Biological Defense Safety Program.
    (9) Conduct the review of general construction plans for biological 
defense RDTE facilities.
    (10) Establish procedures to investigate biological defense related 
mishaps, referenced in AR 385-40.
    (11) Serve as proponent for Army biological safety training.
    (d) The Commanding General, United States Army Corps of Engineers, 
(CG, USACE) will establish procedures to ensure that biological defense 
RDTE facilities are designed, constructed, and acquired in accordance 
with current Federal, State, Department of Defense (DOD), and DA 
regulatory standards.
    (e) The Surgeon General (TSG) will--
    (1) Develop occupational health standards and medical support 
policies for the BDP.
    (2) Provide advice and guidance for health hazard assessments and 
medical surveillance in accordance with current directives and policies.
    (3) Provide medical guidance for selecting appropriate protective 
equipment for use in the BDP.
    (4) Provide a representative to each BDP special safety study group.
    (5) Provide occupational health support to the DASAF for conduct of 
annual management reviews (Sec. 624.4(c)(6)).
    (f) The Commander, United States Army Medical Research and 
Development Command (USAMRDC), in addition to major Army commands 
(MACOMs) responsibilities, will--
    (1) Conduct safety site assistance visits at BDP Army research 
facilities, on a periodic basis as determined necessary by the DASAF, 
and advise the ARSTAF of findings and recommendations.
    (2) Provide a group member for all other studies and reviews.
    (3) Assist Headquarters, Department of the Army (HQDA) in its 
oversight role of monitoring biological defense RDTE activities 
throughout the Army and advise HQDA on concerns, trends, and corrective 
actions required.
    (4) Assist the DASAF in performing biological defense safety program 
mishap investigations.
    (5) Assist the DASAF in developing biological defense safety policy 
and recommend changes to policies and procedures.
    (6) Serve as the proponent for the BDP Special Immunization Program.
    (g) MACOM Commanders with a BDP mission will--(1) Establish and 
operate an effective safety program.
    (2) Publish a command program to implement HQDA biological safety 
standards and to identify responsibilities for all subordinate 
organizations that maintain, store, handle, use, transport, or dispose 
of etiologic agents used in the BDP.
    (3) Supervise subordinate organizations to ensure that an effective 
safety program, which complies with this regulation, DA Pam 385-69, and 
AR 385-10 is implemented and maintained.
    (4) Ensure that biological defense safety programs comply with the 
provisions of this regulation and DA Pam 385-69.
    (5) Appoint a safety and health manager per AR 385-10, who is 
occupationally qualified under Office of Personnel Management standards 
and has special knowledge of biological safety and health requirements. 
This safety and health manager should be the single point of contact for 
all aspects of the BDP Safety Program.
    (6) Review standing operating procedures (SOPs) for biological 
defense RDTE operations.
    (7) Develop and submit general construction plans for approval 
through command channels to HQDA, Army Safety Office, DACS-SF, WASH DC 
20310-0200.
    (8) Approve or disapprove individual access to etiologic agent 
restricted areas.
    (9) Implement a Chemical Hygiene Plan, as appropriate, which meets 
the requirement of 29 CFR 1910.1450.



        Subpart B_Biological Defense Safety Policy and Procedures



Sec. 626.5  Policy.

    (a) This regulation applies to BDP RDTE operations involving 
etiologic

[[Page 552]]

agents being investigated by DA for biological defense purposes.
    (b) Specific biological safety requirements and guidance are 
contained in DA Pam 385-69.



Sec. 626.6  Mishap reporting and investigation.

    Biological defense RDTE related mishaps will be reported and 
investigated per AR 385-40 and AR 40-400. Med 16 Report will be used to 
report only personnel exposure or illness related to the BDP.



Sec. 626.7  Administrative and work practice controls.

    (a) The cardinal principle for safety in BDP operations is to 
minimize the potential exposure of personnel to etiologic agents. In 
practice, this means conducting RDTE activities using the appropriate 
facilities, equipment, and procedures for the biosafety level (BL), and 
requiring only the minimum number of appropriately trained personnel, 
the minimum period of time, and minimum amount of the material, 
consistent with program objectives and safe operations.
    (b) Open air testing under the BDP is restricted to use of simulants 
only, unless the Secretary of Defense determines that testing is 
necessary for national security in accordance with section 409, Public 
Law 91-121, 83 Stat. 204, signed November 18, 1967. Also, for RDTE 
involving protective equipment or detection devices, the least hazardous 
etiologic agent consistent with mission objectives will be employed. All 
testing of such equipment employing etiologic agents will be in 
appropriate biosafety level containment laboratories.
    (c) A hazard analysis, to determine safety precautions, necessary 
personnel protection and engineering features, and procedures to prevent 
exposure, will be completed for--
    (1) All BDP operations involving etiologic agents.
    (2) A change in process or control measures that may increase 
potential contact or concentrations of biological material.
    (d) An SOP is required for all biological defense RDTE operations. 
The SOP will--
    (1) Describe in detail all necessary operational and safety 
requirements.
    (2) Describe in detail actions to take in the event of mishap.
    (3) Describe in detail the location of required emergency response 
equipment.
    (4) Be available at the work site.
    (5) Forbid concurrent unrelated work during biological defense RDTE 
operations within a laboratory area or suite.
    (6) Be approved by the commander or the safety officer and signed by 
workers involved in the operation.
    (7) Provide names and telephone numbers of responsible personnel.
    (e) Training and information. All personnel who work directly with 
etiologic agents in the BDP, or who otherwise have a potential for 
exposure, will receive appropriate training to enable them to work 
safely and to understand the relative significance of agent exposures.
    (1) This training will include signs and symptoms of etiologic agent 
exposure, information on sources of exposure, possible adverse health 
affects, and practices and controls used to limit exposures. The 
environmental and medical monitoring procedures in use, their purposes, 
worker responsibilities in health protection programs, and handling of 
laboratory mishaps will also be presented.
    (2) Workers will be required to demonstrate proficiency before 
performing potentially hazardous operations. Refresher training will be 
repeated at least annually.
    (3) Initial and refresher training will be documented and kept on 
file as a permanent record.
    (f) Medical surveillance. A medical surveillance program (see AR 40-
5) will be established for all personnel (military and civilian) who may 
be potentially exposed to etiologic agents.
    (1) Placement, periodic medical surveillance examinations, and 
termination examinations shall be conducted for each worker, to 
establish a baseline health record and to provide periodic job-related 
assessments of the worker's health status. Preassignment, periodic, and 
termination health assessments will include a work history,

[[Page 553]]

a medical history, physical examinations, indicated clinical laboratory 
sutdies and, when available, examinations or tests specific to the 
etiologic agent in question.
    (2) Medical officers responsible for treating BDP etiologic agent 
exposures and conducting medical surveillance for BDP workers shall 
receive specialized training on the unique hazards of etiologic agents 
and recommended medical therapies.
    (3) Special immunizations will be given to personnel handling 
specific etiologic agents as required.
    (4) Records documenting the above will be maintained permanently.
    (g) Emergency preparedness: (1) SOPs will address emergency 
procedures related to any mishap involving BDP etiologic agents. 
Notification and evacuation procedures will be covered in detail, as 
well as measures to contain the contamination.
    (2) Local, regional, State, or Federal emergency support and 
coordinating agencies, such as law enforcement, fire departments, health 
departments, and governments will be informed of BDP activities and the 
appropriate support necessary, to include any equipment and training 
necessary, to provide effective emergency response and ensure compliance 
with community ``right-to-know'' statutes and regulations. Agreements 
with external agencies must be formalized.
    (3) If a mishap with a BDP etiologic agent results in personnel 
exposure, approved emergency procedures will be immediately initiated to 
protect personnel and the environment and to constrain the spread of 
contamination. All personnel except those responsible for emergency 
operations will evacuate the immediate area.
    (4) Special medical surveillance will be started as soon as possible 
for all workers present in the potentially affected area at the time of 
the mishap.
    (h) Labeling and posting of hazards:
    (1) Hazard warning signs which incorporate the universal biohazard 
symbol will be posted on the access door to the work area. (See DA PAM 
385-69, para 3-5a(1).) The sign will be covered or removed if the 
organizational safety officer certifies that the area has been 
decontaminated.
    (2) For areas irradiated with ultraviolet light, a caution sign 
reading ``Ultraviolet Light, Wear Eye Protection'' will be posted.
    (i) Disposal controls. Etiologic agents used in the BDP must be 
decontaminated before disposal of infectious or hazardous wastes and 
must not violate any Army, Federal, State, local, or host nation 
environmental standards. Procedures for decontamination are described in 
DA Pam 385-69.
    (1) The preferred methods of decontamination of etiologic agents are 
autoclaving or chemical inactivation with appropriate biocidal 
solutions. (See chap 5, DA Pam 385-69.)
    (2) Etiologic agents awaiting decontamination will be contained at 
the appropriate biosafety level.
    (j) Maintenance controls. A continuing program for equipment and 
facility maintenance will be implemented for each BDP operation.
    (k) Protective equipment. Guidance concerning protective equipment 
is contained in DA Pam 385-69.



Sec. 626.8  Etiologic agent containment.

    (a) Facility engineering controls and appropriate biocontainment 
equipment will be used, in conjunction with special practices and 
procedures, to minimize potential exposure of personnel and the 
environment to etiologic agents used in BDP operations. Engineering and 
equipment controls will be implemented to the maximum extent feasible 
and verified as effective. Protective clothing will not be used in lieu 
of engineering controls. Engineering controls will be the prime means of 
biocontainment. Personal protective equipment such as respirators are to 
be used only after feasible engineering controls have been shown unable 
to control the environment fully.
    (b) Before beginning any etiologic agent operation, a determination 
will be made that the hazards associated with the operation are under 
positive control as defined in the applicable SOP and that the operation 
complies with the criteria of this regulation and DA Pam 385-69.



Sec. 626.9  Inspections.

    (a) Biosafety laboratories require periodic (at least quarterly for 
BL-1

[[Page 554]]

and BL-2 and monthly for BL-3 and BL-4 laboratories), inspections by 
safety and health professionals. Safety officials will document the 
inspections, assure that deviations from safe practices are recorded, 
and that recommended corrective actions are taken. If deviations are 
life threatening, this area will be restricted until corrective actions 
are accomplished. New RDTE efforts involving etiologic agents will be 
evaluated and inspected prior to start-up to assure equipment, 
facilities, employee training, and procedures are in place and adequate 
for the introduction of BDP material. Safety officials will maintain 
such records for 3 years and will review the records at least annually 
for trends requiring corrective actions.
    (b) Supervisors shall inspect work areas frequently (at least 
weekly) and take corrective actions promptly.



Sec. 626.10  Transportation of BDP etiologic agents.

    (a) Etiologic agents utilized in the BDP shall be packed, labeled, 
marked, prepared for shipment, and shipped in accordance with applicable 
Federal, State, and local laws and regulations, to include 42 CFR part 
72, ``Interstate Shipment of Etiologic Agents,'' 49 CFR parts 172 and 
173 (Department of Transportation), 9 CFR part 122 (USDA Restricted 
Animal Pathogens), and DA Pam 385-69.
    (b) Etiologic agents shipped to support the BDP will use secondary 
shipping containers which are sealed with a crimped lid (see app D, DA 
Pam 385-69).
    (c) BDP organizations and contractors who provide etiologic agents 
will ship all etiologic agents by private carrier. The United States 
Postal Service will not be used to transport etiologic agents required 
for the BDP.
    (d) In addition to the above requirements, shipments of BL-4 
etiologic agents will be hand carried by Government courier or under the 
immediate supervision of a responsible party. This individual must be 
knowledgeable about the potential hazards of the materials and be able 
to monitor all aspects of the shipment to ensure that required transfers 
have been completed and documented and final receipt has been 
accomplished and acknowledged.
    (e) Audit trails of all BDP etiologic agent shipments and receipts 
of such agents shall be established and maintained for at least 3 years. 
Such audit trails shall identify date of shipment, carrier, addresses of 
the shipper and recipient, and agent(s) shipped and received.



Sec. 626.11  General construction plans.

    General construction plans for BDP facilities, as well as for 
changes in use of facilities, will be submitted through the chain of 
command to HQDA, Army Safety Office, DACS-SF, WASH DC 20310-0200 for 
safety review and approval. Plans shall be forwarded for new 
construction or major modifications of facilities used in the BDP. The 
facility system safety requirements of AR 385-16 and AR 415-15 shall be 
followed. Simultaneously, RDTE requirements that necessitate such 
renovation, modification, or construction shall be submitted through the 
chain of command to HQDA, OASA(RDA), SARD-ZT, WASH DC 20310-0103 for 
review and approval.



Sec. 626.12  Maximum credible event (MCE).

    (a) Because of the complexity of the RDTE conducted in the BDP, the 
range of potential consequences that could be associated with a mishap 
must be considered. MCE is a risk analysis technique which provides a 
useful tool for estimating the effectiveness of existing safeguards. The 
potential for events must be carefully analyzed to determine the MCE 
that could occur and cause a mishap. All hazard analysis and general 
construction plans mentioned in Sec. 626.11 will include a 
consideration of an MCE.
    (b) The term MCE, as used herein, is analogous to a realistic worst-
case analysis. The best available credible information will be applied 
to estimate the results of various MCEs. Those assumptions that yield 
the potential for more severe consequences, as opposed to assumptions 
that operational and safety controls will always perform as designed, 
will be used. The rule of reason will be applied to confine the MCE to 
realistic or believable occurrences.
    (c) When considering an MCE, consider the redundancy of safety 
systems

[[Page 555]]

engineered into the facilities and the equipment used, depending on 
containment level required to make them as fail-safe as practical. The 
MCE for containment laboratories must be considered in terms of physical 
containment for both toxins and biological organisms. Therefore, both 
toxin and biological MCEs will be considered.
    (d) Because aerosols of etiologic agents represent the most 
significant potential hazard for exposure of workers or the environment, 
a hazard analysis (to include MCE) of proposed BDP RDTE activities will 
be performed to determine the procedures, engineering controls, and 
facility design required to mitigate potential significant hazards.



Sec. 626.13  Controls.

    (a) Personnel who are not needed to operate a BDP laboratory, will 
not be allowed to enter potentially hazardous areas.
    (b) Written procedures to control access and ensure that personnel 
can be evacuated or protected from exposure may be used in place of 
absolute personnel exclusion.



Sec. 626.14  Waivers and exemptions.

    (a) The goal of the biological defense safety program is strict 
adherence to safety standards and the elimination of all waivers and 
exemptions.
    (b) Waiver authority. (1) The Chief of Staff, Army (CSA) is the 
controlling authority for granting waivers of biological defense safety 
standards. This authority is redelegated by this regulation to 
commanders of MACOMs and the commander of the USAMRDC.
    (2) Waiver authority will not be subdelegated.
    (3) Commanders with waiver authority will--
    (i) Ensure the existence of necessary and compelling reasons before 
granting waivers.
    (ii) Grant waivers to standards for installations and activities 
within their areas of authority.
    (c) Waiver requests: (1) Commanders of installations and activities 
will submit a request for waiver when compliance with these standards 
cannot be achieved. When such waivers affect on other commands, 
initiating activities will coordinate requests with those commands.
    (2) Requests for waivers will contain the following information:
    (i) Description of conditions. State the mission requirements and 
compelling reasons which make the waiver essential and the impact if not 
approved, and describe all affected sites or facilities and the quantity 
and type of BDP required.
    (ii) The safety regulations, including specific safety requirements 
or conditions cited by paragraph, from which the waiver is requested, 
and the reasons for the waiver.
    (iii) Specific time period for which the waiver is requested.
    (iv) A hazard analysis which identifies actual and potential hazards 
which can result from the waived requirements or conditions.
    (v) A risk assessment that provides information on the risk being 
assumed because of the waiver. The assessment will include those safety 
precautions and compensatory measures in force during the waiver period.
    (vi) A waiver abatement plan to include milestones, resources, and 
actions planned to eliminate the need for the waiver.
    (3) Requests for waivers will be forwarded through command channels 
to the MACOM or CG, USAMRDC, as appropriate, for approval. MACOM or 
USAMRDC safety officials will forward a copy of approved waivers to 
HQDA, DACS-SF, WASH DC 20310-0200. Copies of all waivers will be 
maintained at the installation and MACOM or USAMRDC Safety Offices for 
up to 3 years after the waiver is terminated.
    (4) Time limitations: (i) Waivers are normally limited to 1 year or 
less, and will be considered rescinded after 1 year, unless reviewed. 
The activity or installation commander forwarding a request for waiver 
will allow time to permit investigation, evaluation, and reply.
    (ii) Waivers may be renewed each year by the commander originally 
granting the waiver for a waiver period not to exceed 5 years. Prior 
renewal, commanders will review the need for the waiver to ensure that 
circumstances requiring the waiver have not changed. Results of this 
review

[[Page 556]]

(and a progress report regarding milestones that have been completed) 
will be forwarded through command channels to the commander originally 
granting the waiver.
    (iii) A request for amendment will be initiated when factors or 
circumstances requiring a change to the original waiver are identified.
    (iv) When factors or circumstances prevent correction of the waiver 
condition within 5 years of the initial approval of the waiver, such 
condition becomes a candidate for an exemption.
    (d) Exemptions. (1) Exemptions are relatively long-term exceptions 
to otherwise mandatory standards. Exemptions will be granted only under 
the following conditions:
    (i) If corrective measures are impractical.
    (ii) If impairment of the overall defense posture would result.
    (iii) If positive programs to eliminate of the need for the 
exemption are being pursued.
    (2) Exemptions can be approved only by the Secretary of the Army.
    (i) Requests for exemptions will be sent through command channels to 
HQDA, DACS-SF, WASH DC 20310-0200.
    (ii) Exemption requests will include the information required in 
paragraph(c)(2) of this section.
    (iii) Copies of exemption requests will be maintained at the 
installation and MACOM or USAMRDC Safety Offices.



                        Subpart C_BDP Contractors



Sec. 626.15  Written procedures for contractor review.

    The contracting agency will prepare written procedures for reviewing 
contractor capability to safely perform BDP work with etiologic agents. 
The written procedures will describe the criteria and guidelines for 
preparing the facilities description, safety requirements, special 
procedures and techniques, inspection procedures, and MCE scenarios. 
These written procedures will be submitted to the contracting agency 
MACOM for review and approval.



Sec. 626.16  Contracting agencies.

    Contracting agencies, in coordination with their respective Command 
safety offices will monitor contractor performance in meeting safety 
requirements.
    (a) The contracting agency will establish an inspection program and 
schedule for all BDP contractors who perform contract work with BL-3 or 
BL-4. Inspections will be conducted by safety and health personnel. The 
schedule will include, as a minimum, the following:
    (1) A pre-award inspection on site, prior to contact award, for 
initial contracts for BDP work requiring BL-3 or BL-4 operations. If 
during a pre-award inspection, major corrective measures are required, a 
reinspection is required prior to the beginning of contract operations.
    (2) A pre-award inspection of follow-on BL-3 and BL-4 contracts.
    (3) A pre-operational inspection if a major change in procedures, 
facilities, or equipment is made after the pre-award survey.
    (4) Annual inspection of BL-3 and seminannual inspection of BL-4 
contractor facilities, equipment, and operations.
    (b) Pre-award surveys and annual inspections of contractors 
performing work requiring BL-3 or BL-4 will be conducted by safety and 
health professionals trained in BDP operational safety requirements. 
Pre-award surveys and annual inspections of BL-1 and BL-2 contractors 
will be conducted by safety and health professionals or contracting 
agency representatives who are trained in biological safety inspection 
techniques. The Safety Inspection Checklist in DA Pam 385-69 will be 
used.
    (c) The contracting agency will require each BDP contractor whose 
contract requires the use of etiologic agents to prepare a facility 
safety program plan based on the criteria below and submit the plan to 
the contracting agency for review prior to beginning BDP contract 
operations. The plan will describe the contractor organization, and 
procedures for meeting DOD, Army, and contracting Command safety 
requirements as specified in the contract.

[[Page 557]]

    (1) A safety training program for all individuals working with 
etiologic agents must be documented by the contractor and include, as a 
minimum, the requirements in Sec. 626.7(e). Appropriate safety training 
will be provided to scientists, other laboratory personnel, and 
unrelated personnel such as technicians, clerical, and maintenance 
workers. This training will be documented.
    (2) The contractor must designate a qualified individual to be 
responsible for the entire safety program with full authority to develop 
and enforce contractor safety policies. Regular safety inspections will 
be conducted and inspection reports will be provided to the contracting 
agency upon request.
    (3) Policies for storing, handling, and moving etiologic agents 
within the contractor facility shall be included in the plan.
    (4) Policies and procedures for disposal of any etiologic agent 
waste must be identified. Disposal must comply with Federal, State, and 
local regulations as well as DOD and Army requirements.
    (5) An SOP must be established for each area where BDP etiologic 
agents are stored, transferred, or used. In addition, an SOP must be 
prepared for operations unique to any specific contract. The contractor 
will provide the SOP to contracting agency personnel upon request for 
review.
    (6) For contracts requiring BL-3 or BL-4, the contractor will 
provide (upon request) facility engineering drawings and specifications 
for the relevant etiologic agent containment areas, associated 
ventilation systems, and local approving authority. Also to be included 
is test data verifying that all systems adequately meet the DOD and Army 
safety requirements, as well as test methods for periodic 
recertification of the system.
    (7) MCE scenarios that ensure that all realistic threats are 
considered at contractor sites, see Sec. 626.12 of this part.



Sec. 626.17  Contractor changes.

    The contractor will submit proposed changes to the original safety 
documentation to the contracting agency for review prior to 
implementation. Requests will include justification and test data 
verifying that adequate safety will be maintained.



Sec. 626.18  BDP contract requirements.

    (a) Contractors performing work with BL-3 and BL-4 material must 
prepare a plan detailing procedures for controlling laboratory mishaps 
involving etiologic agents.
    (1) The contractor shall have the necessary equipment and trained 
personnel for controlling the mishap.
    (2) In the event of an incidental release of a BDP etiologic agent 
from appropriate laboratory biocontainment that may result in personnel 
exposure, approved emergency procedures will be initiated immediately to 
effectively protect personnel and the environment and to constrain the 
spread of contamination. The affected areas will be decontaminated 
before normal operations are resumed.
    (3) Special medical surveillance will be started as soon as possible 
for all workers present in the potentially affected area at the time of 
the mishap.
    (4) Local emergency support agencies, such as law enforcement, fire 
departments, health departments, and governments will be informed of BDP 
activities and the appropriate support necessary, to include any 
equipment and training to provide effective emergency response. 
Agreements with external agencies must be formalized.
    (5) The contractor shall be required to review the plan annually and 
consult external agencies if there is an agreement for them to provide 
assistance. This should be done in coordination with the contracting 
agency.
    (b) [Reserved]



                    Subpart D_BDP Studies and Reviews



Sec. 626.19  Assuring maximum safety.

    (a) Safety studies and reviews are conducted to assure that maximum 
safety and health measures are being taken to prevent mishaps involving 
BDP etiologic agents in any amount or under any conditions that may 
cause incapacitation, illness, or death to any person, or adverse 
effects on the public or to the environment.

[[Page 558]]

    (b) The system safety requirements of AR 385-16 will be followed 
during all BDP safety studies and reviews.



Sec. 626.20  Special studies.

    Any HQDA agency may recommend a special study or review of an 
etiologic agent or system when it becomes necessary to investigate the 
condition or changes described below. The responsbile HQDA agency will 
determine the scope and conduct the study or review. Special study 
activities will be coordinated with HQDA, DACS-SF, WASH DC 20310-0200.
    (a) Conditions or practices which may affect safety.
    (b) Major system modifications including both design and physical 
configuration changes.
    (c) Significant changes to safety, health, and environmental 
protection standards and requirements that affect BDP operations.

                   Appendix A to Part 626--References

    These publications can be obtained from the National Technical 
Information Services, U.S. Department of Commerce, 5285 Port Royal Road, 
Springfield, Virginia 22161.

                          Required Publications

AR 40-5--Preventive Medicine. (Cited Sec. 626.7(f) introductory text)
AR 40-400--Patient Administration. (Cited in Sec. 626.6)
AR 385-10--Army Safety Program. (Cited in Sec. Sec. 626.4(c) 
introductory text, 626.4(g)(3), and 626.4(g)(5))
AR 385-16--System Safety Engineering and Management. (Cited in 
Sec. Sec. 626.11, and 626.19)
AR 385-40--Accident Reporting and Records. (Cited in Sec. Sec. 
626.4(c)(10) and 626.6)
AR 415-15--Military Construction, Army (MCA) Program Development. (Cited 
in Sec. 626.11)
DA Pam 385-69--Biological Defense Safety Program. (Cited in Sec. Sec. 
626.1(b), 626.4(g)(3), 626.4(g)(4), 626.5(b), 626.7(h)(1), 626.7(i) 
intro text, 626.7(i)(1), 626.7(k), 626.8(b), 626.10(a), 626.10(b), and 
626.16(b))
Med 16 Report. (Cited in Sec. 626.6)

                          Related Publications

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

AR 40-10--Health Hazard Assessment Program in Support of the Army 
Material Acquisition Decision Process
AR 70-1--Systems Acquisition Policy and Procedures
AR 70-10--Test and Evaluation During Development and Acquisition of 
Materiel
AR 70-18--The Use of Animals in DOD Programs
AR 70-25--Use of Volunteers as Subjects of Research
AR 70-65--Management of Controlled Substances, Ethyl Alcohol, and 
Hazardous Biological Substances in Army Research, Development, Test, and 
Evaluation Facilities
AR 200-1--Environmental Protection and Enhancement
AR 200-2--Environmental Effects of Army Actions
AR 405-90--Disposal of Real Estate

             Appendix B to Part 626--Glossary Abbreviations

AMC--United States Army Materiel Command
AR--Army regulation
ARSTAF--Army Staff
ASA (IL&E)--Assistant Secretary of the Army (Installations, Logistics 
and Environment)
ASA (RDA)--Assistant Secretary of the Army (Research, Development, and 
Acquisition)
BDP--Biological Defense Program
BL--Biosafety level
CG--commanding general
CSA--Chief of Staff, United States Army
DA--Department of the Army
DA Pam--Department of the Army Pamphlet
DASAF--Director of Army Safety
DCSOPS--Deputy Chief of Staff for Operations and Plans
DOD--Department of Defense
HEPA--high efficiency particulate air
HQDA--Headquarters, Department of Army
IPR--in process reviews
MACOM--major Army command
MCA--Military Construction, Army
MCE--maximum credible event
OCSA--Office of the Chief of Staff, United States Army
R&D--research and development
RDTE--research, development, test, and evaluation
RCRA--Resource Conservation Recovery Act
SOP--standing operating procedure
TSG--The Surgeon General, Army
USACE--United States Army Corps of Engineers
USAMRDC--United States Army Medical, Research and Development Command

                                  Terms

                        Biological Defense Mishap

    An event in which the failure of laboratory facilities, equipment, 
or procedures appropriate to the level of potential pathogenicity

[[Page 559]]

or toxicity of a given etiologic agent (organism or toxin) may allow the 
unintentional, potential exposure of humans or the laboratory 
environment to that agent. Mishaps can be categorized into those 
resulting in confirmed exposures and those resulting in potential 
exposures. A confirmed accidental exposure is any mishap in which there 
was direct evidence of an exposure, such as a measurable rise in 
specific antibody titer to the etiologic agent in question, or a 
confirmed diagnosis of intoxication or disease. A potential exposure is 
any mishap in which there was reason to believe that anyone working with 
an etiologic agent may have been exposed to that agent, yet no 
measurable rise in specific antibody titer or diagnosis of illness or 
disease can be found. However, there is reason to believe in such a case 
that the possibility existed for introduction of an etiologic agent 
through mucous membranes, the respiratory tract, broken skin, or the 
circulatory system as a direct result of the incident or injury.

                           Biocontainment Area

    An area which meets the requirements for a BL-3 or BL-4 facility. 
The area may be an entire building, a suite of rooms, a single room 
within a building, or a biological safety cabinet.

                       Biological Safety Cabinets

    Engineering controls designed to enable laboratory workers to handle 
infectious etiologic agents and to provide primary containment of any 
resultant aerosol. There are three major classes of cabinets (I, II, and 
III) and several sub-classes of class II cabinets. Each type of cabinet 
provides a different degree of protection to personnel and to the 
products handled inside them.

                             Biosafety Level

    A combination of facilities, equipment, and procedures used in 
handling etiologic agents to protect the worker, environment, and the 
community. This combination is proportional to the potential hazard of 
the etiologic agent in question.

                            Biosafety Level 1

    The facilities, equipment, and procedures suitable for work 
involving agents of no known or of minimal potential hazard to 
laboratory personnel and the environment.

                            Biosafety Level 2

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, or teaching laboratories, suitable for work involving 
indigenous agents of moderate potential hazard to personnel and the 
environment. It differs from BL-1 in that (1) laboratory personnel have 
specific training in handling pathogenic agents, (2) the laboratory is 
directed by scientists with experience in the handling of specific 
agents, (3) access to the laboratory is limited when work is being 
conducted, and (4) certain procedures in which infectious aerosols could 
be created are conducted in biological safety cabinets or other physical 
containment equipment. Personnel must be trained. Strict adherence to 
recommended practices is as important in attaining the maximum 
containment capability as is the mechanical performance of the equipment 
itself.

                            Biosafety Level 3

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, research, or production facilities in which work is 
performed with indigenous or exotic agents where there is potential for 
infection by aerosol and the disease may have serious or lethal 
consequences. It differs from BL-2 in that (1) more extensive training 
in handling pathogenic and potentially lethal agents is necessary for 
laboratory personnel, (2) all procedures involving the manipulation of 
infectious material are conducted within biological safety cabinets, or 
by other physical containment devices, (3) the laboratory has special 
engineering and design features, including access zones, sealed 
penetrations, and directional airflow, and (4) any modification of BL-3 
recommendations must be made only by the commander.

                            Biosafety Level 4

    The facilities, equipment, and procedures required for work with 
dangerous and exotic agents which pose a high individual risk of life-
threatening disease. It differs from BL-3 in that (1) members of the 
laboratory staff have specific and thorough training in handling 
extremely hazardous infectious agents, (2) laboratory personnel 
understand the primary and secondary containment functions of the 
standard and special practices, containment equipment, and laboratory 
design characteristics, (3) access to the laboratory is strictly 
controlled by the commander, (4) the facility is either in a separate 
building or in a controlled area within a building, which is completely 
isolated from all other areas of the building, (5) a specific facility 
operations manual is prepared or adopted, (6) within work areas of the 
facility, all activities are confined to Class III biological safety 
cabinets or Class I or Class II biological safety cabinets used in 
conjunction with one-piece positive pressure personnel suits ventilated 
by a life support system, and (7) the maximum containment laboratory has 
special engineering and design features to prevent microorganisms from 
being disseminated to the environment.

[[Page 560]]

                                Building

    A structure that contains the requisite components necessary to 
support a facility that is designed according to the required biosafety 
level. The building can contain one or more facilities conforming to one 
or more biosafety levels.

                           Confirmed Exposure

    Any mishap with a BDP agent in which there was direct evidence of an 
actual exposure such as: A measurable raise in antibody titer to the 
agent, or a confirmed diagnosis of intoxication or disease.

                             Decontamination

    The physical or chemical processes by which an object or area, 
contaminated with a harmful or potentially harmful etiologic agent, is 
made safe for handling or use. Such processes include physical removal 
of all contaminants, thermal destruction of biological activity 
(sterilization), chemical inactivation (biocidal process), or a 
combination of these methods.

                             Etiologic Agent

    A viable microorganism, or its toxin which causes or may cause human 
disease, and includes those agents listed in 42 CFR 72.3 of the 
Department of Health and Human Services regulations, and any material of 
biological origin that poses a degree of hazard similar to those 
organisms.

                                Exemption

    A permanent written exemption approved by HQDA for a requirement 
imposed by this regulation. An exemption is based on a determination 
that conformity to the established standard is impossible, highly 
impracticable, unnecessary, or not in the best interest of the United 
States Government.

                                First Aid

    Any one-time treatment, and any follow-up visit for the purpose of 
observation of minor scratches, cuts, burns, splinters, and so forth, 
which do not ordinarily require medical care. Such one-time treatment, 
and follow-up visit for observation, is considered first aid, even 
through provided by a physician or registered medical professional 
personnel.

              High efficiency particulate air (HEPA) filter

    A filter which removes particulate matter down to sub-micron sized 
particles from the air passed through it with a minimum efficiency of 
99.97 percent. HEPA filters remove particulate matter with great 
efficiency while vapors and gases (for example from volatile chemicals) 
are not removed and pass through unrestricted. HEPA filters are used as 
the primary means of removing infectious agents from air exhausted from 
engineering controls and facilities.

                           Institute Director

    The commander of an Army activity conducting RDTE with BDP etiologic 
agents, or the equivalent at a research organization under contract to 
the BDP.

                               Institution

    An organization such as an Army RDTE activity (institute, agency, 
center, or similar facility) or a contract organization such as a school 
of medicine or research institute that conducts RDTE with BDP etiologic 
agents.

                               Laboratory

    An individual room or rooms within a facility that provides space in 
which work with etiologic agents may be performed. It contains all of 
the appropriate engineering features and equipment required at a given 
biosafety level to protect personnel working in the laboratory and the 
environment external to the facility.

                      Potential Accidental Exposure

    Any mishap in which there was reason to believe that anyone working 
with a BDP material may have been exposed to that material, yet no 
measurable rise in antibody titer or diagnosis of intoxication or 
disease was made. However, the high probability existed for introduction 
of an agent through mucous membranes, ingestion, respiratory tract, 
broken skin, or circulatory system as a direct result of the accident, 
injury, or incident.

    Resource Conservation Recovery Act (RCRA) Listed Hazardous Waste

    The waste materials listed by Environmental Protection Agency under 
authority of the RCRA for which the disposal is regulated by the 
Environmental Protection Agency. A description and listing of these 
wastes is located in 40 CFR part 261.

                              Sterilization

    The complete destruction of all forms of microbial life.

                                  Suite

    An area consisting of more than one room, and designed to be a 
functional unit in which laboratory operations can be conducted. Suites 
may contain a combination of laboratories and animal holding rooms or 
both and associated support areas within a facility that are designed to 
conform to a particular biosafety level. There may be one or more suites 
within a facility.

[[Page 561]]

                                  Toxin

    Toxic material of biologic origin that has been isolated from the 
parent organism. The toxic material of plants, animals, or 
microorganisms.

                                 Waiver

    A temporary (1 year or less) written relief from a requirement 
imposed by this regulation, pending accomplishment of actions or 
programs which will result in conformance to the required standards. 
Waivers will not be extended beyond 5 years.



PART 627_THE BIOLOGICAL DEFENSE SAFETY PROGRAM, TECHNICAL SAFETY 
REQUIREMENTS (DA PAMPHLET 385-69)--Table of Contents




                         Subpart A_Introduction

Sec.
627.1 Purpose.
627.2 Background.
627.3 Scope.
627.4 References.
627.5 Abbreviations and terms.

                        Subpart B_Administration

627.6 Safety administration.
627.7 Goal of a laboratory safety program.
627.8 Occupational health.
627.9 Medical records.

                   Subpart C_Operational Requirements

627.10 Personnel prerequisites.
627.11 Operational prerequisites.
627.12 General laboratory techniques.
627.13 Biosafety level 1.
627.14 Biosafety level 2.
627.15 Biosafety level 3.
627.16 Biosafety level 4.
627.17 Toxins.
627.18 Emergencies.
627.19 Large-scale operations.
627.20 Operations with radioactive material.

                 Subpart D_Personal Protective Equipment

627.21 Introduction.
627.22 Minimum laboratory attire for use of etiologic agents.
627.23 Biosafety level 1.
627.24 Biosafety level 2.
627.25 Biosafety level 3.
627.26 Biosafety level 4.
627.27 Large-scale (LS) operations.
627.28 Solutions of toxins and dry forms of toxins in closed containers.
627.29 Dry forms of toxins handled in open containers.
627.30 Situations specified in Sec. 627.18(e).
627.31 Specific requirements for individual PPE items.

                 Subpart E_Decontamination and Disposal

627.32 Introduction.
627.33 Methods of decontamination.
627.34 Disposal.

   Subpart F_Importation, Shipment, and Transport of Etiologic Agents

627.35 Introduction.
627.36 Administration.
627.37 Importation directives.
627.38 Shipment directives.
627.39 Transportation directives.
627.40 Additional requirements.
627.41 Sources for further information on shipment of etiologic agents.

                          Subpart G_Facilities

627.42 Introduction.
627.43 Biosafety level 1.
627.44 Biosafety level 2.
627.45 Biosafety level 3.
627.46 Biosafety level 4.
627.47 Large-scale facilities.
627.48 Toxins.

                     Subpart H_Engineering Controls

627.49 Introduction.
627.50 Class I biological safety cabinet.
627.51 Class II biological safety cabinet.
627.52 Class III biological safety cabinet.
627.53 Fume hood.
627.54 Glove box.
627.55 Ventilated balance enclosures.
627.56 Ventilated cage enclosures.
627.57 Ventilated cage areas.

Appendix A to Part 627--References
Appendix B to Part 627--Resource List for Immunoprophylaxis of Personnel 
          at Risk
Appendix C to Part 627--Laboratory Safety Inspection Checklist
Appendix D to Part 627--Packaging and Labeling Requirements for Shipment 
          of Etiologic Agents
Appendix E to Part 627--Permits for Importation and Shipment of 
          Etiologic Agents
Appendix F to Part 627--Drawings, Biological Safety Cabinets
Appendix G to Part 627--Glossary

    Authority: 5 U.S.C. 102, 21 U.S.C. 111, 151-158; 42 U.S.C. 216; sec. 
361, 58 Stat. 703 and 264; 49 U.S.C. App. 1803, 1804, 1807, and 1808; 50 
U.S.C. 1431, 29 CFR 1910. 1450(e) and Public Law 101-510, 104 Stat. 
1516.

    Source: 57 FR 12604, Apr. 10, 1992, unless otherwise noted.

[[Page 562]]



                         Subpart A_Introduction



Sec. 627.1  Purpose.

    This pamphlet prescribes the technical safety requirements for the 
use, handling, shipment, storage, and disposal of etiologic agents used 
in research, development, test, and evaluation (RDTE) for the Biological 
Defense Program (BDP)



Sec. 627.2  Background.

    The United States Army BDP, on behalf of the Department of Defense, 
supports RDTE efforts to maintain and develop defensive measures and 
materiel to meet potential biological warfare threats. The program's 
objectives are to develop measures for identification, detection, 
treatment, protection against, and decontamination of these threats. To 
meet the program objectives, etiologic agents are used to conduct the 
necessary handling, storage, shipment, and disposal of etiologic agents. 
This pamphlet describes requirements based on Centers for Disease 
Control-National Institute of Health (CDC) (NIH) guidelines, Biosafety 
in Microbiological and Biomedical Laboratories, and establishes 
guidelines for toxins.



Sec. 627.3  Scope.

    The requirements stated in this pamphlet apply to all elements of 
the Army to include the ARNG and the USAR and its contractors and 
subcontractors who use, produce, store, handle, or ship etiologic agents 
in support of the BDP, regardless of the source of the agent(s).



Sec. 627.4  References.

    Required and related publications are listed in appendix A of this 
part.



Sec. 627.5  Abbreviations and terms.

    Abbreviations and special terms used in this part are explained in 
appendix F of this part.



                        Subpart B_Administration



Sec. 627.6  Safety administration.

    Each BDP institution must have a safety program that complies with 
AR 385-10, AR 385-69, and this pamphlet. In addition, the safety program 
must be designed to ensure compliance with--
    (a) Occupational Safety and Health Administration (OSHA) 
requirements for health and safety.
    (b) Environmental Protection Agency (EPA) regulations designed to 
implement the Resource Conservation and Recovery Act (RCRA) and the 
National Environmental Policy Act (NEPA).
    (c) Nuclear Regulatory Commission (NRC) requirements for safe 
handling of radioactive isotopes (when applicable).
    (d) NIH Guidelines for Research Involving Recombinant 
Deoxyribonucleic Acid (DNA) Molecules.
    (e) Relevant national, State, and local regulations.
    (f) Any requirements of applicable accrediting bodies.



Sec. 627.7  Goal of a laboratory safety program.

    The goals of the laboratory safety program are to protect those 
working in the laboratory, others who may potentially be exposed to 
hazards in the laboratory, and the environment. In addition, a 
laboratory safety program should ensure that hazardous materials will be 
handled and disposed of in such a way that people, other living 
organisms, and the environment are protected from harm. Safety awareness 
must be a part of everyone's habits, and can only be achieved if all 
senior and responsible staff have a sincere, visible, and continuing 
interest in preventing injuries and occupational illnesses. Laboratory 
personnel, for their part, must carry out their work in a way that 
protects themselves and their fellow workers.
    (a) Laboratory safety. The safety program will be carried out as 
stated in AR 385-69. Additionally, the program will contain the 
following elements--
    (1) The commander or institute director, along with all personnel, 
must have a continuing, observable, and known commitment to the safety 
program.
    (2) An effective institutional safety program requires a safety 
officer appropriately trained in relevant safety technology. This 
individual, besides supplying advice and recommendations, will ensure 
that records are kept

[[Page 563]]

showing that the institution's physical facilities and safety rules are 
internally consistent and compatible with potential risks, as well as in 
compliance with all applicable laws, regulations, and guidelines.
    (3) The commander ensures safety in every department or other 
equivalent administrative unit of the institution. Ensuring safe 
operations is an integral function of each level of management through 
the first line supervisor. The safety office staff must work closely 
with administrators and investigators to develop and implement written 
policies and practices that promote safe laboratory work. Collectively, 
this group routinely must monitor current operations and practices, see 
that appropriate audits are maintained, and continue to seek ways to 
improve the safety program.
    (4) Safety is a critical job element for each member of the 
scientific and technical staff. Each individual working in the 
laboratory must perform his or her job in a manner consistent with 
safety policy and training.
    (5) If laboratory goals dictate operations or substances not suited 
to the existing facilities or equipment, the laboratory supervisor will, 
assisted by the safety officer, advise and assist the laboratory worker 
in developing or obtaining adequate facilities or equipment and 
designing appropriate work procedures.
    (6) The supervisor will authorize each specific operation, delineate 
appropriate safety procedures, and instruct those who carry out the 
operation.
    (7) Potential hazards will be identified before work with etiologic 
agents begins, and actions necessary to avoid accidents and illnesses 
will be implemented. This practice, called a job safety analysis, 
consists of breaking a job down into its logical steps, analyzing each 
for its hazard potential, and deciding the safe procedures to use. The 
process will be designed by a project director with input from 
employees, and each step with potential for exposure or other incidents 
must be described in writing in a standing operating procedure (SOP). 
All such SOPs will be approved by, at a minimum, the commander or 
institute director and the safety officer.
    (8) The job safety analysis will include a consideration of health 
hazards identified in AR 40-10 and of maximum credible events as 
described in paragraph 2-8, AR 385-69.
    (b) Safety plans. Clearly defined, published safety rules and 
monitoring procedures for compliance must be established. These rules 
will be readily available, in writing, for all involved in laboratory 
operations. This goal may be accomplished by preparing or modifying a 
facility safety plan, laboratory safety manual, occupational safety and 
health program or equivalent. This plan will--
    (1) Be coordinated with institutional and Federal, State, and local 
emergency services.
    (2) Be practiced with the emergency groups whose services are part 
of that plan prior to any need for their services, so that they can 
become familiar with any potential problem areas that may be encountered 
when they are called upon for assistance.
    (3) Describe the method of rapid communication (for telephone, 
alarms, and so forth) that will be used during an emergency.
    (4) Describe the institution's etiologic agent labeling system.
    (5) Describe the institution's requirements for testing engineering 
controls (for example, biological safety cabinets and high efficiency 
particulate air (HEPA) filters) and essential safety equipment (for 
example, autoclaves) that are used to conduct RDTE funded by the BDP.
    (6) Appoint and train personnel responsible for handling an 
emergency.
    (7) Require that emergency telephone numbers be posted, so that 
emergency service personnel know whom to contact at all times of the day 
or night.
    (8) Describe the institution's rules that have been established and 
are practiced to limit access to the facilities where etiologic agents 
under the sponsorship of the BDP are handled. The rules will include the 
following requirements:
    (i) Access to biosafety level (BL)-1 and BL-1 large-scale (LS) 
laboratories is limited or restricted at the discretion of the commander 
or institute director when experiments are in progress.

[[Page 564]]

    (ii) Access to areas classified as BL-2, BL-2 LS, or where work with 
toxins is conducted, is limited by the commander or institute director 
when work with etiologic agents is in progress. Individuals who are at 
increased risk of acquiring infection or for whom infection may be 
unusually hazardous are not allowed in the laboratory. Only persons who 
have been advised of the potential hazard and meet any specific entry 
requirements (for example, immunization) may enter the individual 
laboratory or animal rooms. The commander or institute director must 
assess each circumstance and determine who may enter or work in the 
laboratory.
    (iii) Access to areas classified as BL-3 or BL-3 LS is limited as 
stated in Sec. 627.7(b)(8)(ii), and is restricted to those persons 
whose presence in the facility or individual laboratory rooms is 
required for program or support purposes. Individuals under 18 years of 
age may not enter the controlled area.
    (iv) Access to BL-4 facilities is limited as stated in Sec. 
627.7(b)(8) (ii) and (iii). This is done with secure, locked doors with 
access controlled by the commander or institute director, safety 
officer, or other person responsible for the physical security of the 
facility. Before entry, all persons will be advised as to the 
appropriate safeguards for ensuring their safety. Authorized persons 
must comply with these instructions and all other applicable entry and 
exit procedures. A logbook will be maintained for all personnel to 
indicate the date and time of each entry and exit. A card-key activated 
computer record (or other electronic entry device) may be used if it 
indicates the date and time of both entry and exit.
    (9) Describe the system that is developed and is operational for the 
reporting of accidents and exposures, employee absenteeism, and for the 
medical surveillance of potential laboratory-associated illnesses.
    (c) Safety meetings and safety committees. In effective safety 
programs, everyone associated with the laboratory becomes involved. This 
is done by ensuring maximum participation in planning and by conducting 
group safety meetings.
    (1) A staff safety committee, consisting of the commander or 
institute director or his or her designated representative, research 
supervisors, managers, medical personnel, employees, and the safety 
officer, will be established. This group leads the safety effort, 
reviews mishaps, and recommends changes in policies, safety program, or 
equipment as needed to improve safety.
    (2) Safety committees will meet at least quarterly and minutes will 
be prepared and maintained for at least 3 years.
    (3) When work with recombinant DNA molecules is undertaken, an 
institutional biosafety committee (IBC) for review of such work will be 
established and will function as stated in the NIH Guidelines for 
Research Involving Recombinant DNA Molecules (see appendix A to this 
part).
    (d) SOPs. Besides the documented safety program that will be in 
effect, each institution will require that an SOP be established for 
each unique biological defense RDTE operation. The SOPs will meet the 
criteria stated in AR 385-69 and be reviewed and updated annually. A 
copy of the SOP will be maintained in the work area. In addition, SOPs 
will address the following issues--
    (1) The unique hazards introduced by the activity in the work area.
    (2) The methods of controlling these hazards.
    (3) Any unique procedures and requirements needed that are not 
described as universally required in the safety plan (for example, 
signs, waste disposal, immunizations, emergency procedures, and 
personnel monitoring).
    (4) Specialized orientation or training of personnel beyond that 
required in the safety plan.
    (5) Ways of ensuring that the unique procedures are followed.
    (6) Emergency procedures.
    (e) Safety communications. Safety communications alert people to 
newly recognized hazards, remind them of basic biological safety 
principles, and instill positive attitudes toward safety. Training 
requirements are also found in Sec. 627.10(b). A system of 
communication will be established to--
    (1) Implement a biological safety training program for all personnel

[[Page 565]]

working with hazardous biological or chemical materials.
    (2) Publish information addressing useful biological safety advice 
and accounts of laboratory accidents, along with the lessons to be 
learned from them.
    (3) Make reference books and regulations concerning laboratory 
hazards, occupational health, and proper laboratory practices readily 
available.
    (4) Assure that material safety data sheets (MSDS) for hazardous 
chemicals used in the laboratory are readily available to all employees.
    (f) Safety audits. One of the essential elements of a good safety 
program is the conduct of periodic audits of the safety performance in a 
laboratory. Observing individual safety practices and checking the 
operability of safety equipment and compliance with safety rules must be 
part of the audit.
    (1) An individual and an alternate will be appointed for each 
laboratory or room where BDP work is conducted. On a daily basis he or 
she will monitor the conduct of personnel within their room(s) and 
maintenance of the room to see that they comply with the safety program 
and SOPs.
    (2) Supervisors will ensure that their projects comply with 
applicable safety requirements and will audit their areas at least 
weekly to ensure compliance.
    (3) The safety officer or his or her qualified designee will inspect 
the institution's BL-1, BL-2, and toxin laboratories quarterly. BL-3 and 
BL-4 laboratories and those in which dry forms of highly potent toxins 
are handled will be inspected monthly by safety and health 
professionals. These inspections will be announced and include coverage 
of general safety practices as well as features specific to a particular 
biosafety level.
    (i) Reports of deficiencies or procedures that create a potentially 
life-threatening situation will be made directly to supervisory 
personnel and the commander or institute director and actions will be 
taken immediately to correct the situation. The operation will not 
continue until every deficiency is corrected.
    (ii) Reports of deficiencies for other than life-threatening 
situations will be made as soon as possible to the appropriate 
supervisor, with copies furnished to the commander or institute 
director. If a problem is widespread, all affected personnel will be 
notified.
    (4) Supervisory personnel notified of safety deficiencies by the 
safety officer will ensure that the people directly concerned are 
contacted and that the deficiencies are remedied before operations are 
resumed.
    (5) Malfunctioning equipment must be reported to the appropriate 
individuals, labeled to indicate that it should not be used, and 
repaired promptly.
    (6) As a minimum, the audits conducted by the safety officer or his 
or her qualified designee will cover the items listed in appendix C to 
this part.
    (g) Documentation. Records, documenting the following items, will be 
maintained for 3 years:
    (1) Safety audits and the corrective measures.
    (2) Risk assessments for proposed new laboratory procedures.
    (3) Annual reviews of established SOPs.
    (4) Training.
    (5) Engineering controls and protective equipment certifications and 
tests.
    (6) Safety committee meeting minutes and recommendations.
    (7) Any outside auditor comments and responses.



Sec. 627.8  Occupational health.

    An occupational health program will be implemented per AR 40-5, 
chapter 5, for all employees whose employment requires that they conduct 
duties in a BDP etiologic agent area. Essential elements of the program 
will include--
    (a) Medical surveillance examinations. Medical examinations by a 
licensed medical doctor will be given prior to employment, at least 
every 3 years thereafter, and upon termination of duties requiring 
access to laboratories where etiologic agents are used. When full 
medical examinations are not given annually, health professionals will 
perform annual health screening. Safety and health professionals will 
ensure that medical examiners are made aware of all hazardous substances 
each employee works with at the time of the medical examination. The 
physician's findings will include assessment of whether an employee has 
any health

[[Page 566]]

condition that would preclude work with etiologic agents. If any of the 
findings obtained during the examination are outside the normal range, 
the employee's supervisor and the employee will be notified and 
counseled on the courses of action available. In addition, a safety and 
health audit will be conducted to identify any potential occupational 
causes for the abnormalities, and corrective measures will be taken if 
applicable.
    (b) Serum samples. When appropriate, considering the agent(s) 
handled, baseline serum samples for laboratory and other at-risk 
personnel will be collected and stored for their biologically useful 
lifetime, but not longer than 40 years. Additional serum specimens will 
be collected periodically, based upon the agents handled, or as required 
by participation in a special immunizations program. SOPs will be 
written detailing the collection procedures and periods if serum 
sampling is deemed necessary.
    (c) Assignment of personnel. Personnel assigned duties in work areas 
where etiologic agents are used will be evaluated to determine their 
suitability for their assigned tasks by the installation medical 
authority. Only personnel who are physically and mentally capable of 
working in biocontainment areas (BL-3 and BL-4) or with toxins will be 
assigned to these duties.
    (d) Immunization of at-risk personnel. The guidelines for 
immunizations in the latest edition of the American College of 
Physicians' Guide for Adult Immunizations and recommendations of Health 
and Human Services (HHS) in publication number (NIH) 88-8395 shall be 
followed. A resource list for available immunizations for personnel at 
risk is given in appendix B of this part.
    (e) Reporting exposures. Spills and mishaps which result in 
observable, known or potential exposures to etiologic agents will be 
immediately reported to the supervisor, the safety officer, the 
responsible medical personnel, and the commander. Appropriate medical 
evaluation, surveillance, and treatment will be provided and written 
records of these occurrences will be maintained for 40 years. A Med-16 
report will be initiated (see AR 40-400).
    (f) Quarantine. When etiologic agents designated as BL-4 by the CDC-
NIH in HHS publication no. (NIH) 88-8395, (or most recent edition) are 
handled, a facility for the quarantine, isolation, and medical care of 
personnel with potential or known laboratory-associated exposures will 
be available.



Sec. 627.9  Medical records.

    Army activities will maintain medical records in accordance with AR 
40-66 and FPM 293-31 for all military and Department of the Army (DA) 
civilian employees who work with etiologic agents under sponsorship of 
the BDP.



                   Subpart C_Operational Requirements



Sec. 627.10  Personnel prerequisites.

    (a) Medical. Before to assignment to work with etiologic agents, 
personnel will be evaluated by the appropriate medical personnel with 
respect to their assignment and will be evaluated in the medical 
surveillance program described in Sec. 627.8.
    (b) Training. All personnel directly or indirectly involved with 
containment or handling of known and potentially biohazardous material 
shall receive instruction that adequately prepares them for their 
assigned duties. Training will be given by occupationally qualified 
personnel as determined by the commander. This training will be 
documented and will include--
    (1) General training--
    (i) Personal hygiene related to laboratory work.
    (ii) Laboratory practices.
    (iii) Personal protective equipment.
    (iv) Effective use of engineering controls.
    (v) Packaging, transportation, and shipment of etiologic agents 
(when applicable).
    (vi) Hazardous and infectious waste disposal, handling, and 
minimization procedures.
    (2) Training conducted specifically for the facilities that the 
individual will be working in, including--
    (i) Procedures for the facility.
    (ii) Reporting incidents and accidents.
    (iii) Labeling and posting of signs.

[[Page 567]]

    (iv) Biohazardous waste handling, approaches to minimizing the 
volume of waste, decontamination, packaging, and disposal.
    (v) Emergency procedures.
    (3) Additional general training required for work in facilities 
where viable etiologic agents are present.
    (i) Aseptic technique and procedures to include hands-on instruction 
and demonstration of proficiency.
    (ii) Concept and definition of biosafety levels.
    (iii) Disinfection and sterilization.
    (iv) Safe use of workplace equipment, for example autoclave and 
centrifuge.
    (v) Monitoring and auditing requirements.
    (vi) Precautions for handling blood, tissues, and body fluids (when 
applicable).
    (vii) The infectivity, pathogenicity, mode(s) of transmission, and 
medical surveillance requirements of specific agents.
    (viii) Training for all new employees will include a period of 
supervised orientation in the facilities by a scientist or technician 
with specific training in the procedures and properties of the etiologic 
agents in use. During the training period, new laboratory personnel will 
be under the constant supervision of appropriately trained personnel.
    (ix) Personnel who are assigned tasks in BL-2, BL-3, or BL-4 
facilities will also have specific training in handling pathogens.
    (x) Personnel assigned duties in a BL-4 facility will also have 
specific and thorough training in handling extremely hazardous 
infectious agents, the primary and secondary containment functions of 
standard and special practices, use of personal protective equipment, 
containment equipment, and laboratory design characteristics.
    (4) Additional general training for handling toxins will include 
relevant items from Sec. 627.10 plus--
    (i) The availability of reference material on the hazards and safe 
handling of toxic substances.
    (ii) The biological effects of the toxin(s) in use.



Sec. 627.11  Operational prerequisites.

    (a) Evaluation of the risks. The risk assessment of laboratory 
activities involving the use of etiologic agents is ultimately a 
subjective process. Those risks associated with the agent, as well as 
with any adjunct elements of the activity to be conducted, (chemicals, 
radioisotopes, end-products, and so forth) must be considered in the 
assessment. The appropriate biosafety level for work with a particular 
agent or animal study depends on the virulence, pathogenicity, 
biological stability, route of transmission, and communicability of the 
agent; the nature of the laboratory; the procedures and manipulations to 
be used; the quantity and concentration of the agent; and the 
availability of effective vaccines or therapeutic measures.
    (b) The characteristics of etiologic agents, primary laboratory 
hazards of working with the agent, and recommended biosafety levels are 
described by CDC-NIH (HHS publication No. (NIH) 88-8395), the 
considerations for recombinant DNA molecules are described by NIH, and 
those for oncogenic viruses are described by NCI-NIH (sources listed 
below). The commander or institute director will assign work with given 
etiologic agents to the appropriate biosafety level. A risk assessment 
should take into account not only the NIH Guidelines for Research 
Involving Recombinant DNA Molecules, but also potential hazards 
associated with the organism and the product of the experimentation.
    (1) When established guidelines exist, these will be followed. The 
primary source guidelines are--
    (i) HHS Publication No. (NIH) 88-8395, Biosafety in Microbiological 
and Biomedical Laboratories, as amended, and updates published in 
Morbidity and Mortality Weekly Report.
    (ii) NIH Guidelines for Research Involving Recombinant DNA Molecules 
(FR 51: 16958-16985 and updates).
    (iii) The publication by the American Committee on Arthropod-Borne 
Viruses Subcommittee on Arbovirus Laboratory Safety (SALS) entitled 
Laboratory Safety for Arboviruses and Certain Other Viruses of 
Vertebrates in

[[Page 568]]

the American Journal of Tropical Medicine and Hygiene, 29(6), 1980, pp. 
1359-1381.
    (iv) The Department of Health and Human Services Publication No. 
(NIH) 76-1165 by the National Cancer Institute (NCI) entitled Biological 
Safety Manual for Research Involving Oncogenic Viruses.
    (2) When samples with unidentified viable agents are obtained, a 
knowledgeable and qualified scientist will evaluate the risks and make 
recommendations to the safety officer, who will add recommendations for 
review and approval by the commander or institute director. When 
guidelines for a specific organism are not established, in addition to 
these steps, the CDC or SALS or both will be consulted. Their 
recommendations will be documented and provided to the commander or 
institute director before approval.
    (c) Selection of facilities. The facility requirements identified by 
the risk assessment will be adhered to. Any variations and compensatory 
measures will be approved by the IBC (when recombinant DNA molecules are 
involved), the safety officer, and the commander or institute director 
before a request for an exception or waiver is submitted as stated in AR 
385-69.
    (d) Policies and procedures. Policies in the form of a laboratory 
safety manual, regulations, memorandums, or SOPs are required for work 
with etiologic agents in the BDP. Before beginning a new procedure, the 
policies and procedures will be reviewed to ascertain that the intended 
operations are described and to determine the requirements that apply to 
the operation. If procedures exist for the intended operation, personnel 
will be trained to follow them; if procedures do not exist, then a 
detailed SOP will be written, reviewed, and approved before beginning 
the operation. SOPs will conform to the requirements stated in Sec. 
627.7(d), and be signed by all personnel who are required to follow the 
procedures, thus acknowledging that they have read and understood the 
contents. All SOPs that pertain to a specific area (room, laboratory, or 
suite) will be available at the worksite.



Sec. 627.12  General laboratory techniques.

    The general requirements for use of etiologic agents are composed of 
two sets of requirements, with the requirements for toxins being a 
subset of the requirements for handling viable etiologic agents. These 
requirements are as follows--
    (a) General techniques applicable to etiologic agents. (1) A fully 
fastened long-sleeved laboratory coat, gown, uniform, or coveralls will 
be worn in laboratories or animal rooms.
    (2) Eating, drinking, smoking, and applying cosmetics are not 
permitted in the work areas.
    (3) Personnel must wash their hands after they handle etiologic 
agents or animals, and before leaving the laboratory area.
    (4) Mouth pipetting is strictly prohibited. Mechanical pipetting 
aids must be used.
    (5) Gloves--
    (i) Will be worn when manipulating etiologic agents and handling 
containers of etiologic agents. Gloves are not required when materials 
are packaged appropriately for shipment.
    (ii) Will be selected based on the hazards.
    (iii) Will be changed frequently (or decontaminated frequently), and 
will be decontaminated or discarded into a labeled biohazard container 
after each use and immediately upon observable direct contact with an 
etiologic agent.
    (iv) Will be removed at the work-space (workbench or hood) after 
handling etiologic agents to ensure that doorknobs and other surfaces 
are not contaminated.
    (6) Good housekeeping will be maintained. This includes--
    (i) Work areas free of clutter.
    (ii) Work environment free of tripping hazards, with adequate access 
to exits, emergency equipment, controls, and such.
    (iii) Benches and general work areas will be cleaned regularly using 
a wet sponge or similar method with disinfectant as appropriate. Methods 
that stir up dust such as sweeping or using vacuum cleaners, (except for 
HEPA-filtered vacuum cleaners) are unacceptable.

[[Page 569]]

    (iv) Specific work areas will be cleaned and decontaminated 
immediately following each use of an etiologic agent (at least once a 
day) and after any spill of viable material.
    (v) Hallways and stairways will not be used for storage.
    (7) All solutions, reagents, and chemicals will be labeled.
    (8) All contaminated liquid or solid wastes will be inactivated 
before disposal.
    (9) Work will be conducted over spill trays or plastic-backed 
absorbent paper. The paper will be removed, decontaminated, or 
disinfected, and the general area wiped with decontaminant at the end of 
each day or at the end of the experiment, whichever occurs first.
    (10) Etiologic agents will be kept in closed containers when not in 
use. Cultures, solutions, or dried etiologic agents in glass vessels 
transported or incubated within a room or suite will be handled in 
nonbreakable, leak-proof pans, trays, pails, carboys, or other secondary 
containers large enough to contain all the material, if the glass vessel 
leaks or breaks. Etiologic agents removed from a room or suite for 
transport to another approved area within the same building will be 
placed in a closed unbreakable secondary container before removal from 
the laboratory. The secondary container will be labeled on the exterior 
with a biohazard symbol and identification of the contents, including 
the required biosafety level, the scientific name, the concentration (if 
applicable), and the responsible individual. The secondary containers 
will be wiped with suitable disinfectant before removal from the 
laboratory or area.
    (11) Working stocks of etiologic agents will be stored in double 
containers. The primary and secondary containers will provide a positive 
seal and the secondary container will be unbreakable. The secondary 
container will be labeled as stated in Sec. 627.12 (a)(10) and with the 
date stored.
    (12) Storage units (for example, freezers, refrigerators, cabinets, 
and hoods) will be labeled with the universal biohazard sign and 
indicate the classes of etiologic agents contained in them. Storage 
units will be secured when not in use.
    (13) All contaminated materials, containers, spills, and solutions 
will be decontaminated or disinfected by approved methods before 
disposal.
    (14) After injection of an etiologic agent into animals, the site of 
injection will be swabbed with a decontaminant.
    (15) Syringes. (i) Reusable or disposable syringes will be of the 
fixed needle or LUER-LOK type (or equivalent) to assure that the needle 
cannot separate during use.
    (ii) After use, nondisposable glass syringes with attached needles 
contaminated with etiologic agents will be submerged in a container of 
decontaminant. Disposable syringes will be discarded with needles 
attached in puncture-proof rigid containers. Needles will not be 
recapped after use.
    (iii) Sterilized or decontaminated containers marked ``Syringes and/
or Needles'' may be deposited in appropriate refuse containers after 
proper packaging and destruction of the contents.
    [Note: Many States, especially those on the Eastern seaboard, have 
implemented strict requirements for the disposal of medical wastes. For 
example, Maryland has designated all waste from a microbiological 
laboratory as hazardous waste with licensing requirements for generators 
of 50 kilograms per month or more of waste, while all medical waste 
released for transport off-site must be manifested to a State licensed 
medical waste hauler with the destination specified. Additionally, in 
some cases, the local government (for example, a city) regulates the 
disposal of these wastes. These requirements will be identified and 
followed.]

Needles or syringes may not be destroyed by clipping. A mechanical shear 
may be used to smash or sheer needles after or concurrently with 
sterilization or decontamination.
    (16) Refrigerators, deep freezers, and dry ice chests should be 
checked, cleaned out, and defrosted periodically to remove any ampules, 
tubes, and so forth, containing etiologic agents that may have broken 
during storage. Rubber gloves and respiratory protection appropriate to 
the materials in storage should be worn during cleaning. Do not store 
flammable solutions in nonexplosion proof refrigerators.
    (b) Additional techniques applicable to work with viable etiologic 
agents. The major objective of these techniques is

[[Page 570]]

to assist in protection against laboratory acquired infections. Air 
sampling studies have shown that aerosols are generated from most of the 
manipulations of bacterial and viral cultures common to research 
laboratories. The generation of aerosols during routine laboratory 
manipulations must be considered when evaluating the individual degree 
of risk, keeping in mind the four main factors governing infection: 
dosage, virulence of the organism, route of infection (for example, 
skin, eyes, mouth, lungs), and host susceptibility (for example, state 
of health, natural resistance, previous infection, response to vaccines 
and toxoids). The requirements stated below are minimum handling 
requirements to prevent accidental infection created by incidental 
aerosols.
    (1) All procedures are performed carefully to minimize the creation 
of aerosols.
    (2) No infectious mixtures will be prepared by bubbling air through 
a liquid.
    (3) Pipettes. (i) No infectious material will be forcibly ejected 
from pipettes. Only to deliver (TD) pipettes will be used.
    (ii) Pipettes used with infectious or toxic materials will be 
plugged with cotton unless they are used exclusively in a gas-tight 
cabinet system.
    (iii) Contaminated pipettes will be placed horizontally in a rigid 
container containing enough disinfectant for complete immersion. 
Cylinders used for vertical discard are not recommended. The container 
and pipettes must be autoclaved as a unit and replaced by a clean 
container containing fresh disinfectant.
    (iv) Pipetting devices must be used. Under no circumstances is mouth 
pipetting permitted.
    (4) Syringes. (i) Using syringes and needles for making dilutions of 
etiologic agents is not recommended.
    (ii) When removing a syringe and needle from a rubber stopper bottle 
containing viable etiologic agents, an alcohol soaked pledget around the 
stopper and needle will be used.
    (iii) Excess fluid and bubbles should be expelled from syringes 
vertically into a cotton pledget soaked with disinfectant or into a 
small bottle containing disinfectant-soaked cotton.
    (iv) The site of injection of an animal will be swabbed with a 
disinfectant before and after injection.
    (v) After use, syringes contaminated with residual infectious fluid 
will be submerged in a container of disinfectant in a safety cabinet 
prior to removal for autoclaving. To minimize accidental injection of 
infectious material, the removable needles should remain on such 
syringes until after autoclaving. When possible, syringes with attached 
needles should be placed in a pan separate from that holding other 
discarded materials.
    (vi) Caps will not be placed over needles until after disinfection. 
During recapping, procedures to prevent personal injuries will be used.
    (5) Centrifuges and shakers. (i) Before centrifuging, tubes, rotors, 
seals, and gaskets will be checked for cleanliness and integrity. In low 
speed clinical-type centrifuges, a germicidal solution may be added 
between the tube and trunnion cup to disinfect the outer surfaces of 
both and to cushion against shocks that might break the tube. Metal or 
plastic tubes (other than nitro-cellulose) will be used.
    (ii) Decanting from centrifuge tubes will be avoided. If decanting 
is necessary, the outer rim will be wiped with a disinfectant after 
decanting so that material on the lip cannot spin off as an aerosol. 
Centrifuge tubes will not be filled byond the level the manufacturer 
recommends.
    (iii) Broth cultures will be shaken in a manner that avoids wetting 
the plug or cap.
    (6) Water baths in which viable etiologic agents are incubated must 
contain a disinfectant. For cold water baths, 70 percent propylene 
glycol is recommended. The disinfectant should be changed frequently.
    (7) When a laboratory vacuum is used to manipulate viable etiologic 
agents, a secondary reservoir containing disinfectant and a HEPA filter 
must be employed to ensure that the laboratory vacuum lines do not 
become contaminated.
    (8) Test tubes. (i) Tubes containing viable etiologic agents should 
be manipulated with extreme care. Studies have shown that simple 
procedures,

[[Page 571]]

such as removing a tube cap or transferring an inoculum, can create a 
potentially hazardous aerosol.
    (ii) Manipulation of biohazardous test tubes will be conducted in 
biological safety cabinets. Tubes and racks of tubes containing 
biohazardous material should be clearly marked. The individual employee 
must ensure that tubes containing biohazardous material are properly 
sterilized prior to disposal or glassware washing. Safety test tube 
trays should be used in place of conventional test tube racks to 
minimize spillage from broken tubes. When safety test tube trays are not 
used, the conventional test tube racks will be placed in a tray large 
enough to contain any potential spill. A safety test tube tray is one 
having a solid bottom and sides deep enough to hold all liquids, should 
a test tube break.
    (9) Care should be exercised when using membrane filters to obtain 
sterile filtrates of viable etiologic agents. Due to the fragility of 
the membranes and other factors, such filtrates cannot be considered 
noninfectious until laboratory culture or other tests have proven their 
sterility.
    (10) The preparation, handling, and use of dry powders of viable 
etiologic agents in open containers presents unusual hazards. The 
slightest manipulation of such powders can cause the generation of 
aerosols containing a high concentration of etiologic agents. Therefore, 
work with dry powders of etiologic agents in open containers should be 
carried out in gas-tight biological safety cabinets.



Sec. 627.13  Biosafety level 1.

    (a) Requirements beyond those for all etiologic agents. BL-1 
operations follow the general techniques described in Sec. Sec. 
627.12(a) and 617.12(b).
    (b) Additional laboratory requirement. Contaminated materials that 
are to be decontaminated at a site away from the laboratory are placed 
in a durable leak-proof container which is closed before being removed 
from the laboratory. Examples of suitable containers are metal tubs with 
lids or plastic bags that are sealed and then placed inside a rigid 
container for transport.
    (c) Additional animal requirements. (1) Bedding materials from 
animal cages will be removed in such a manner as to minimize the 
creation of aerosols and disposed of in compliance with applicable 
institutional or local requirements.
    (2) Cages are washed manually or in a cagewasher. Temperature of 
final rinse water will be a minimum of 180 [deg]F.
    (3) Laboratory coats, gowns, or uniforms worn in animal rooms shall 
not be worn in other areas.



Sec. 627.14  Biosafety level 2.

    (a) Additional requirements. In addition to the general 
microbiological techniques stated in Sec. 627.13, BL-2 operations 
include the following requirements:
    (1) When etiologic agents are in use, a hazard warning sign 
incorporating the universal biohazard symbol is posted on the access 
door of the work area. The hazard warning sign identifies the etiologic 
agent, lists the name and telephone number of the institute director or 
other responsible person(s), and indicates the special requirement(s) 
for entering the laboratory.
    (2) Animals not involved in the work being performed are not 
permitted in the laboratory.
    (3) Special care is taken to avoid skin contamination with the 
etiologic agents; gloves will be worn when handling etiologic agents or 
infected animals.
    (4) All wastes from laboratories and animal rooms are decontaminated 
before disposal.
    (5) Hypodermic needles and syringes are used only for parenteral 
injection and aspiration of fluids from laboratory animals and diaphragm 
bottles.
    (6) Spills and accidents which result in a potential exposure to 
etiologic agents will be reported immediately to the safety officer, the 
project leader, and the institute director.
    (7) Biological safety cabinets (Class I or II) will be used when:
    (i) Procedures with a high potential for creating infectious 
aerosols are conducted.
    (ii) High concentrations or large volumes of etiologic agents are 
used.
    (8) Laboratory coats, gowns, smocks, or uniforms will be removed 
before leaving the animal facility or laboratory area.

[[Page 572]]

    (b) Additional animal requirements. (1) Cages must be 
decontaminated, preferably by autoclaving, before they are cleaned and 
washed.
    (2) Approved molded masks are worn by all personnel entering animal 
rooms housing nonhuman primates.
    (3) If floor drains are provided, the drain traps will be kept 
filled with water or a suitable disinfectant.



Sec. 627.15  Biosafety level 3.

    (a) Additional requirements. In addition to the requirements stated 
in Sec. Sec. 627.13 and 627.14, the following requirements apply--
    (1) Approved molded masks or respirators with HEPA filters are worn 
by all personnel in rooms housing infected animals.
    (2) Protective clothing worn in a laboratory or animal room will be 
removed before exiting the laboratory or animal room.
    (3) Clothing worn in laboratories and animal areas to protect street 
clothing will be decontaminated before being laundered.
    (b) Additional laboratory requirements. (1) Laboratory doors will be 
kept closed.
    (2) All activities involving etiologic agents will be conducted in 
biological safety cabinets (Class I, II, or III) or other physical 
containment devices within the containment module. No work in open 
vessels is conducted outside a biological safety cabinet.
    (3) The work surfaces of biological safety cabinets and other 
containment equipment will be decontaminated after work with etiologic 
agents. Plastic-backed paper toweling should be used on nonperforated 
work surfaces within biological safety cabinets to facilitate clean-up.
    (c) Additional animal requirements. (1) Cages are autoclaved before 
bedding is removed and before they are cleaned and washed.
    (2) Gloves are removed aseptically and autoclaved with other wastes 
before being disposed of or reused.
    (3) Boots, shoe covers, or other protective footwear and 
disinfectant foot baths must be available and used when indicated.
    (4) Personal protective clothing and equipment and other physical 
containment devices are used for all procedures and manipulations of 
etiologic agents or infected animals. The risk of infectious aerosols 
from infected animals or their bedding shall be reduced by housing 
animals in partial containment caging systems as described in Sec. 
627.56.
    (d) Work with BL-3 etiologic agents that require additional 
secondary containment. Facilities in which work with certain viruses, 
for example, Rift Valley fever, yellow fever, and Venezuelan equine 
encephalitis, is conducted require HEPA filtration of Xallexhaust air 
prior to discharge from the laboratory. All persons working with those 
agents for which a vaccine is available should be immunized.



Sec. 627.16  Biosafety level 4.

    Laboratory work at BL-4 must follow the requirements stated in 
Sec. Sec. 627.13, 627.14 and 627.15 as well as the following:
    (a) All activities are conducted in Class III biological safety 
cabinets or in Class I or II biological safety cabinets in conjunction 
with a one-piece positive pressure personnel suit ventilated by a life-
support system.
    (b) Biological materials to be removed from the Class III cabinet or 
from the maximum containment laboratory in a viable or intact state must 
be transferred to a sealed nonbreakable primary container, enclosed in a 
nonbreakable sealed secondary container, and removed from the facility 
through a disinfectant dunk tank, fumigation chamber, or an airlock 
designed for this purpose.
    (c) No materials, except for biological materials that are to remain 
in a viable or intact state, are removed from the maximum containment 
laboratory unless they have been autoclaved or decontaminated before 
they leave the facility. Equipment or material which might be damaged by 
high temperature or steam is decontaminated by gaseous or vapor methods 
in an airlock or chamber designed for this purpose.
    (d) Personnel may enter and leave the facility only through the 
clothing change and shower rooms. Personnel must shower each time they 
leave the

[[Page 573]]

facility. Personnel may use the airlocks to enter or leave the 
laboratory only in an emergency.
    (e) Street clothing must be removed in the outer clothing change 
room and kept there. Complete laboratory clothing, including 
undergarments, pants and shirts or jumpsuits, shoes, and gloves, will be 
provided and must be used by all personnel entering the facility. Head 
covers are provided for personnel who do not wash their hair during the 
shower. When leaving the laboratory and before proceeding into the 
shower area, personnel must remove their laboratory clothing and store 
it in a locker or hamper in the inner change room.
    (f) When etiologic agents or infected animals are present in the 
laboratory or animal rooms, a hazard warning sign incorporating the 
universal biohazard symbol must be posted on all access doors. The sign 
must identify the agent, list the name of the commander or institute 
director or other responsible person(s), and indicate any special 
requirements for entering the area (for example, the need for 
immunizations or respirators).
    (g) Supplies and materials needed in the facility are brought in by 
way of the double-doored autoclave, fumigation chamber, or airlock which 
is appropriately decontaminated after each use. After securing the outer 
doors, personnel within the facility retrieve materials by opening the 
interior doors of the autoclave, fumigation chamber, or airlock. These 
doors are secured after materials are brought into the facility.
    (h) Materials (for example, animals and clothing) not related to the 
experiment being conducted are not permitted in the facility.
    (i) Whenever possible, avoid using any glass items.



Sec. 627.17  Toxins.

    The laboratory facilities, equipment, and procedures appropriate for 
work with toxins of biological origin must reflect the intrinsic level 
of hazard posed by a particular toxin as well as the potential risks 
inherent in the operations performed. All toxins must be considered to 
pose a hazard in an aerosol form. However, most toxins exert their 
effects only after parenteral exposure or ingestion, and a few toxins 
present a dermal hazard. In general, toxins of biological origin are not 
intrinsically volatile. Thus, the laboratory safety precautions 
appropriate for handling these materials closely parallel those for 
handling infectious organisms. The requirements in this section for the 
laboratory use of toxins of biological origin include the requirements 
in Sec. 627.12(a) and the following:
    (a) Vacuum lines. When vacuum lines are used with systems containing 
toxins, they will be protected with a HEPA filter to prevent entry of 
toxins into the lines (or sink drains when water aspirators are used).
    (b) Preparation of concentrated stock solutions and handling closed 
primary containers of dry toxins. Preparation of primary containers of 
toxin stock solutions and manipulations of closed primary containers of 
dry forms of toxins will be conducted--
    (1) In a chemical fume hood, a glove box, or a biological safety 
cabinet or equivalent containment system approved by the safety officer.
    (2) While wearing eye protection if using an open-fronted 
containment system.
    (3) Ensuring that gloves worn when handling toxins will be disposed 
of as toxin waste, with decontamination if required.
    (4) With the room door closed and posted with a universal biohazard 
sign, or other sign, indicating that toxin work is in progress. 
Extraneous personnel shall not be permitted in the room during 
operations.
    (5) Ensuring that toxins removed from hoods or biological safety 
cabinets are double-contained during transport.
    (6) After verification of hood or biological safety cabinet inward 
airflow is made by the user before initiating work.
    (7) Within the operationally effective zone of the hood or 
biological safety cabinet.
    (8) Ensuring that nondisposable laboratory clothing is 
decontaminated before release for laundering.
    (9) Ensuring that all individuals who handle toxins wash their hands 
upon each exit from the laboratory.

[[Page 574]]

    (10) With two knowledgeable individuals present whenever more than 
an estimated human lethal dose is handled in a syringe with a needle. 
Each must be familiar with the applicable procedures, maintain visual 
contact with the other, and be ready to assist in the event of an 
accident.
    (c) Manipulations with open containers of dry forms of toxins. 
Handling dry forms of toxins in uncovered containers (for example, 
during weighing) will be performed following the requirements stated in 
Sec. Sec. 627.12(a), 627.17 (a) and (b), and the following:
    (1) Manipulations will be conducted in a HEPA filtered chemical fume 
hood, glove box, or biological safety cabinet. In addition the exhaust 
may be charcoal filtered if the material is volatile.
    (2) When using an open-fronted fume hood or biological safety 
cabinet, protective clothing, including gloves and a disposable long-
sleeved body covering (gown, laboratory coat, smock, coverall, or 
similar garment) will be worn so that hands and arms are completely 
covered. Eye and approved respiratory protection is also required. The 
protective clothing will not be worn outside of the laboratory and will 
be disposed of as solid toxin waste.
    (3) Before containers are removed from the hood, cabinet, or glove 
box, the exterior of the closed primary container will be decontaminated 
and placed in a clean secondary container.
    (4) When toxins are in use, the room will be posted to indicate 
``Toxins in Use--Authorized Personnel Only.'' Any special entry 
requirements will be posted on the entrance(s) to the room.
    (5) All operations will be conducted with two knowledgeable 
individuals present. Each must be familiar with the applicable 
procedures, maintain visual contact with the other, and be ready to 
assist in the event of an accident.
    (6) Individuals handling toxins will wash their hands upon leaving 
the laboratory.
    (d) Additional considerations of specific toxin properties. The 
following requirements are in addition to the requirements stated in the 
paragraphs above. Determine whether the material fits Sec. 627.17 (b) or 
(c), and complies with the appropriate section and the following when 
applicable:
    (1) When handling dry forms of toxins that are electrostatic--
    (i) Do not wear gloves (such as latex) that help to generate static 
electricity.
    (ii) Use glove bag within a hood or biological safety cabinet, a 
glove box, or a class III biological safety cabinet.
    (2) When handling toxins that are percutaneous hazards (irritants, 
necrotic to tissue, or extremely toxic from dermal exposure)--
    (i) Gloves will be selected that are known to be impervious to the 
toxin and the diluent (when applicable) for the duration of the 
manipulations.
    (ii) Disposable laboratory clothing will be worn, left in the 
laboratory upon exit, and disposed of as solid toxin waste.
    (e) Aerosol exposures. The requirements found in Sec. 627.17 (a) 
and (b) will be complied with plus the following:
    (1) Chambers, nose-only exposure apparatus, and generation system 
must be placed inside a fume hood, glove box, or a Class III biological 
safety cabinet. Glove boxes and Class III biological safety cabinets 
will have HEPA filters on both inlet and outlet air ports.
    (2) The atmosphere from within the exposure chamber will be HEPA 
filtered before release inside the hood, glove box, or cabinet.
    (3) All items inside the hood, glove box, or Class III biological 
safety cabinet will be decontaminated upon removal. Materials such as 
experimental samples that cannot be decontaminated directly will be 
placed in a closed secondary container, the exterior of which will be 
decontaminated and labeled appropriately. Animals will have any areas 
exposed to toxin wiped clean after removal from the exposure apparatus.
    (4) The interior of the hood, glove box, or cabinet containing the 
chamber and all items will be decontaminated periodically, for example, 
at the end of a series of related experiments. Until decontamintated, 
the hood, box, or cabinet will be posted to indicate that toxins are in 
use, and access to the equipment and apparatus restricted to necessary, 
authorized personnel.

[[Page 575]]



Sec. 627.18  Emergencies.

    (a) Introduction. All laboratories will establish specific emergency 
plans for their facilities. Plans will include liaison through proper 
channels with local emergency groups and with community officials. These 
plans will include both the building and the individual laboratories. 
For the building, the plan must describe evacuation routes, facilities 
for medical treatment, and procedures for reporting accidents and 
emergencies. The plans will be reinforced by drills. Emergency groups 
and community officials must be informed of emergency plans in advance 
of any call for assistance. See AR 385-69.
    (b) General emergency procedures. The following emergency procedures 
will be followed for laboratory accidents or incidents--
    (1) Using appropriate personal protection, assist persons involved, 
remove contaminated clothing if necessary, decontaminate affected areas, 
and remove personnel from exposure to further injury if necessary; do 
not move an injured person not in danger of further harm. Render 
immediate first aid if necessary.
    (2) Warn personnel in adjacent areas of any potential hazards to 
their safety.
    (3) In case of fire or explosion, call the fire department or 
community fire brigade immediately. Follow local rules for dealing with 
incipient fire. Portable fire extinguishers will be made available with 
instructions for their use. Fire fighters responding to the fire scene 
will be advised to wear a self-contained positive pressure breathing 
appartus to protect themselves from toxic combustion by-products.
    (4) Laboratories must be prepared for problems resulting from severe 
weather or loss of a utility service. In the event of the latter, most 
ventilation systems not supplied with emergency power will become 
inoperative. All potentially hazardous laboratory work must stop until 
service has been restored and appropriate action has been taken to 
prevent personnel exposure to etiologic agents.
    (5) In a medical emergency, summon medical help immediately. 
Laboratories without a medical staff must have personnel trained in 
first aid available during working hours.
    (6) For small-scale laboratory accidents, secure the laboratory, 
leave the area, and call for assistance.
    (7) When handling mixed hazards (for example, a substance or mixture 
that may be infectious and radioactive, or infectious and chemically 
toxic), respond with procedures addressing the greater hazard first, and 
then follow through with those for the lesser hazards to ensure that all 
appropriate steps have been taken.
    (c) Evacuation procedures. Building and laboratory evacuation 
procedures will be established and communicated to all personnel.
    (1) Emergency alarm system. (i) There will be a system to alert 
personnel of an emergency that requires evacuation of the laboratory or 
building. Laboratory personnel must be familiar with the location and 
operation of alarm equipment.
    (ii) Isolated areas (for example, cold, warm, or sterile rooms) will 
be equipped with an alarm or communication system that can be used to 
alert others outside to the presence of a worker inside, or to warn 
workers inside of an emergency that requires evacuation.
    (2) Evacuation routes will be established and an outside assembly 
area for evacuated personnel must be designated. All individuals should 
be accounted for.
    (3) Shut-down and start-up procedures.
    (i) Guidelines for shutting down operations during an emergency 
evacuation will be available in writing. Those guidelines will include 
procedures for handling any power failure emergency.
    (ii) Written procedures will also be provided to ensure that 
personnel do not return to the laboratory until the emergency is ended. 
Those procedures must also contain start-up operations for the 
laboratory.
    (iii) All shut-down and start-up procedures will be available to 
personnel and reviewed semiannually.
    (4) All aspects of the building evacuation procedur will be tested 
semiannually with practice drills.
    (d) Spills. (1) All areas where work with etiologic agents is 
performed will

[[Page 576]]

have designated personnel to respond to a spill and provide protective 
apparel, safety equipment, and materials necessary to contain and clean 
up the spill. Protective clothing requirements are described in Sec. 
627.21. Also, there will be supplies on hand to deal with the spill 
consistent with the hazard and quantities of the spilled substance.
    (2) The safety officer will be notified immediately of all spills. 
The first line supervisor will ensure that proper clean-up techniques 
are employed.
    (3) Etiologic agents. (i) A program for responding to spills of 
etiologic agents will be developed and implemented. This program will 
contain emergency response procedures for a biological spill, which will 
be tailored to the potential hazard of the material being used, the 
associated laboratory reagents involved, the volume of material, and the 
location of the materials within the laboratory. Generally, the spill 
should be confined to a small area while minimizing the substance's 
conversion to an aerosol. The spill will be chemically decontaminated or 
neutralized, followed by a cleanup with careful disposal of the residue. 
If the spilled material is volatile and noninfectious, it may be allowed 
to evaporate but must be exhausted by a chemical hood or ventilation 
system.
    (ii) When a mishap occurs that may generate an aerosol of etiologic 
agents requiring BL-2 (or higher) containment, the room must be 
evacuated immediately, the doors closed, and all clothing 
decontaminated, unless the spill occurs in a class II or class III 
biological safety cabinet. Sufficient time must be allowed for the 
droplets to settle and the aerosols to be reduced by the air changes of 
the ventilation system before decontaminating the area. The area will 
then be decontaminated to prevent exposure to the infectious agents or 
toxic substances. Reentry procedures to perform the decontamination will 
conform to Sec. 627.18(e).
    (iii) A spill of biohazardous material within a biological safety 
cabinet requires a special response and cleanup procedure. Cleanup will 
be initiated while the cabinet continues to operate, using an effective 
chemical decontaminating agent. Aerosol generation during 
decontamination and the escape of contaminants from the cabinet must be 
prevented. Caution must be exercised in choosing the decontaminant, 
keeping in mind that fumes from flammable organic solvents, such as 
alcohol, can reach dangerous concentrations within a biological safety 
cabinet.
    (4) Combined radioactive and biological spills. (i) Both the 
radiation protection officer (RPO) and the safety officer must be 
notified immediately whenever there is a spill of radioactive biological 
material, regardless of its size. Laboratory personnel may be expected 
to clean up the spill. The RPO will direct the cleanup, in accordance 
with the NRC license for the facility.
    (ii) The spill will be cleaned up in a way that minimizes the 
generation of aerosols and spread of contamination. All items used in 
cleaning up the spill must be disposed of as radioactive waste.
    (iii) Following cleanup, the area, affected protective clothing, and 
all affected equipment and supplies must be surveyed for residual 
radioactive contamination. All potentially affected areas and items that 
are not disposable will be wipe-tested to verify that unfixed 
radioactive contamination has been removed. If fixed contamination is 
found, the RPO will determine the requirements for additional cleanup.
    (e) Reentry procedures. This section applies when reentry is 
necessary to clean up a spill outside of a hood or biological safety 
cabinet, or to decontaminate or service engineering controls that have 
failed or malfunctioned so that they do not provide the required 
containment.
    (1) When agents requiring BL-1 or BL-1 LS containment are involved, 
the clothing requirements stated in Sec. 627.30 (a) or (b) as 
appropriate will be followed. Individuals will remove the required 
protective clothing when finished and wash their hands before proceeding 
to other tasks.
    (2) When agents requiring BL-2, BL-2 LS, or toxin procedures and 
containment are involved, personnel will be required to wear the 
clothing described in Sec. 627.30 (c) or (d) as appropriate. Outer 
protective clothing will be removed and left in the room before exiting 
and personnel will wash their

[[Page 577]]

hands before proceeding on to other activities.
    (3) When agents requiring BL-3, or BL-3 LS containment are involved, 
containers for sealing up inner protective clothing and decontaminant 
will be placed at the room exit. Personnel will be required to wear the 
clothing described in paragraph 4-10e. When exiting the area after 
decontamination procedures, individuals will remove their outer layer of 
protective clothing just before exiting the room. Once outside the room, 
the inner layer of protective clothing (for example, coverall) will be 
removed and placed in the container and the inner gloves will be 
decontaminated before being removed and placed in the container. 
Personnel will proceed directly to the shower facility to take a 
complete shower before exiting the facility.
    (4) When agents requiring BL-4 containment are involved, the 
following applies as appropriate to the type of BL-4 facility:
    (i) When a spill requiring clean-up is in an area designed for use 
with personal positive pressure suits, the entry and exit procedures 
will be those normally required to enter or exit the area.
    (ii) When entering a nonsuit area where a spill of etiologic agent 
has occurred outside the containment of a Class III biological safety 
cabinet, personnel will wear the clothing as described in Sec. 
627.30(f). Before entry, decontamination areas will be established. To 
accomplish this, two step-in decontamination pans with the appropriate 
disinfectant will be set up [one just inside the room (where the 
contamination exists) and the second immediately outside the room]. 
Immediately outside the room, there will also be a sealable container 
suitable for sealing up the suit and any air lines (if used).
    (iii) When exiting the room, suited individuals will place all 
equipment and other items in autoclaves or disinfectant, step into the 
disinfectant pan, and wash down the exterior of their suits with 
appropriate disinfectant. When completed, the door to the room will be 
opened and the individual will step through the doorway into the second 
disinfectant pan. The suit will be thoroughly rinsed with disinfectant 
again before moving toward the exit from the facility. The suit (but not 
the respirator) will be placed in the provided container. The individual 
will proceed through another doorway before removing the respirator and 
placing it in a closed container for decontamination. The individual 
will then proceed directly to the shower area and take a full shower 
before exiting the area. In case they are needed, personnel will be 
standing by ready to render assistance. Suited individuals will be 
visually observed, if possible. When visual observation is not possible, 
a communications system is required.
    (f) Mishap reports and investigations. (1) Each institution must 
have a defined system for reporting laboratory injuries, illnesses, and 
mishaps, as well as for investigating them. These events will be 
documented and reported to the appropriate safety, supervisory, and 
occupational health personnel. Those organizations subject to the 
regulations promulgated by the OSHA will follow the specific 
requirements for reporting injuries in the work place contained in those 
regulations. The requirements stated in AR 385-69, State, and local 
government requirements for similar reporting will be followed.
    (2) Form(s) for recording mishaps will be available and completed 
for all laboratory mishaps. Those reports must include a description of 
the mishap and any factors contributing to it. In addition, a 
description of any first aid or other health care given to the employee 
will be included. Responsibility for completing these forms must be 
clearly defined in the facility safety manual. Mishaps will be reviewed 
periodically by the safety officer, the safety committee, the employee 
health unit, or other appropriate personnel. Individual reports or a 
summary must be sent, along with recommended changes in laboratory 
procedure or policy, to the commander or institute director. Policy or 
procedural changes must be implemented if deemed necessary by the 
commander or institute director.
    (3) Any mishaps with etiologic agents used under sponsorship of the 
BDP that

[[Page 578]]

result in sero-conversion or a laboratory-acquired illness will be 
reported.



Sec. 627.19  Large-scale operations.

    (a) Large-scale. In addition to the requirements stated in Sec. 
627.13, the following applies to research or production activities 
involving viable etiologic agents in quantities greater than 10 liters:
    (1) All large-scale operations will be conducted in facilities 
described in Sec. 627.47.
    (2) Cultures will be handled in a closed system.
    (3) Sample collection, the addition of materials, and the transfer 
of culture fluids shall be done in a manner which minimizes the release 
of aerosols or contamination of exposed surfaces.
    (4) A closed system or other primary containment equipment that has 
contained viable organisms shall not be opened for maintenance or other 
purposes unless it has been sterilized.
    (5) SOPs will include a section describing and requiring a 
validation of the process equipment's proper function.
    (6) Scientists, technicians, equipment workers, and support 
personnel with access to the large-scale production area during its 
operation will be included in the medical surveillance program.
    (b) BL-2--LS. In addition to the requirements stated in Sec. Sec. 
627.19(a) and 627.14, the following procedures will be employed for BL-
2--LS:
    (1) Rotating seals and other mechanical devices directly associated 
with the closed system used for the propagation and growth of viable 
organisms shall be designed to prevent leakage or shall be fully 
enclosed in ventilated housings that are exhausted through filters which 
have efficiencies equivalent to HEPA filters or through other equivalent 
treatment devices.
    (2) A closed system used for the propagation and growth of viable 
organisms and other primary containment equipment used to contain 
operations involving viable organisms shall include monitoring or 
sensing devices that monitor the integrity of containment during 
operations.
    (3) Systems used to propagate and grow viable organisms shall be 
permanently identified. This identification shall be used in all records 
reflecting testing, operation, and maintenance and in all documentation 
relating to the use of this equipment.
    (c) BL-3--LS. In addition to the requirements stated in Sec. Sec. 
627.19(a) and 617.14, the following procedures apply:
    (1) Personnel entry into the controlled area shall be through the 
entry area specified in Sec. 627.47(c)(1).
    (2) Persons entering the controlled area shall exchange or cover 
their personal clothing with work garments such as jumpsuits, long 
sleeved laboratory coats, pants and shirts, head cover, and shoes or 
shoe covers. On exit from the controlled area, the work clothing may be 
stored in a locker separate from that used for personal clothing, or 
discarded for laundering. Clothing shall be decontaminated before 
laundering.
    (3) Entry into the controlled area during periods when work is in 
progress shall be restricted to those persons required to meet program 
support needs.
    (4) Prior to entry, all persons shall be informed of the operating 
practices, emergency procedures, and the nature of the work conducted.
    (5) The universal biohazard sign shall be posted on entry doors to 
the controlled area and all internal doors. The sign posted on the entry 
doors to the controlled area shall include a statement of agents in use 
and personnel authorized to enter.
    (6) Equipment and materials required for the management of accidents 
involving viable organisms shall be available in the controlled area.
    (d) BL-4--LS. Guidelines for these operations are not established. 
If these are needed, they must be established by the United States Army 
Surgeon General or the NIH on an individual basis.



Sec. 627.20  Operations with radioactive material.

    Operations that combine etiologic agents with radioactive material 
present unique problems. When this is the case, the following apply:
    (a) Radiation program. A radiation program meeting the requirements 
of

[[Page 579]]

AR 385-11 and NRC licensing that allows the particular isotope and its 
use are required. The requirements for acquisition, handling procedures, 
labeling, storage, training, monitoring, and disposal will be described 
in an organization policy document.
    (b) Procedure approval. In addition to the required approvals for 
work with etiologic agents, the RPO will approve all SOPs involving the 
use of radioactive materials. Laboratory operators must be fully 
trained, with annual training updates as required by the existing 
license.
    (c) Special situations. (1) The laboratory waste must be segregated 
as radioactive waste and disposed of as such after it has been 
decontaminated. Do not mix nonradioactive waste with radioactive waste 
as the disposal of radioactive waste is much more complex and expensive. 
When RCRA-listed chemicals are mixed with radioactive waste, it becomes 
``mixed waste'' for which there is currently no means of disposal.
    (2) Activities conducted with radioisotopes should be confined to 
the smallest number of areas or rooms consistent with requirements.
    (3) Decontamination methods specific to etiologic agents will not 
always remove radioactivity. Other methods, such as specialized 
detergents and solvents designed for this use, should be employed to 
remove residual radioactivity.



                 Subpart D_Personal Protective Equipment



Sec. 627.21  Introduction.

    Personal protective equipment (PPE) includes clothing and equipment 
used to protect the laboratory worker from contact with infectious, 
toxic, and corrosive agents, as well as excessive heat, fire, and other 
physical hazards. The appropriate PPE for any activity depends upon the 
proposed operations and the potential hazards associated with them. 
While PPE is an important item of personal protection, it serves as only 
a secondary line of protection against hazards in the workplace. 
Engineering controls (subpart H), combined with common sense, good 
laboratory techniques, and adherence to SOPs, are the primary barriers 
to exposure. There are some situations, however, in which it is either 
impractical or impossible to rely exclusively on engineering controls. 
In these cases, PPE may form the primary barrier between personnel and 
the hazardous or infectious materials.



Sec. 627.22  Minimum laboratory attire for use of etiologic agents.

    Individuals required to wear PPE will be trained in its proper use. 
The PPE listed below is the minimum required when etiologic agents are 
handled at any biosafety level. Research with etiologic agents usually 
involves hazards other than those presented by the agents themselves. 
When PPE is selected, the hazards presented by these other factors must 
be considered regardless of the biosafety level used. For example, toxic 
chemicals are commonly used in research involving etiologic agents. The 
processes may expose personnel to physical hazards, such as heat or 
animal bites, and the decontamination process may involve the handling 
of toxic or corrosive materials. When the PPE required to mitigate these 
hazards exceeds that of the minimum requirements, the necessary PPE will 
be selected considering all the hazards. Information regarding the 
additional appropriate PPE worn to protect against these hazards will be 
available from one of the following sources: MSDS, SOP for the 
operation, or the safety officer. Deviations from the standards stated 
in approved SOPs must be approved by the safety officer. All laboratory 
coats worn to protect the individual should be left in the laboratory 
when that individual leaves. In each case, the minimum attire will be--
    (a) Laboratory workers. Street attire is permissible in the 
laboratory, but must include closed-toe shoes. A full-length, long 
sleeved, fully fastened laboratory coat, gown, or smock will be worn 
over the street attire in the laboratory at all times. The laboratory 
clothing will be removed and left in the laboratory when leaving to 
enter nonlaboratory use areas.
    (b) Animal caretakers. In addition to the clothing requirements in 
Sec. 627.22(a), animal handlers will be provided with

[[Page 580]]

safety shoes or safety boots. The requirements of Sec. 627.22(b) should 
also apply.
    (c) Nonhuman primate rooms. Personnel entering rooms housing 
nonhuman primates will wear the clothing stated in Sec. 627.22(a) and, 
if applicable, Sec. 627.22(b) in addition to a molded mask or HEPA 
filtered respirator, latex or vinyl gloves, and eye protection.



Sec. 627.23  Biosafety level 1.

    This level requires only the minimum attire described in Sec. 
626.22.



Sec. 627.24  Biosafety level 2.

    This level requires the following additions to the minimum clothing 
specified in Sec. 627.22:
    (a) Laboratory. Gloves (type dependent on the application) will be 
worn when handling etiologic agents or containers of etiologic agents 
and when handling infected animals.
    (b) Animal rooms. (1) Protective clothing will be changed completely 
every day. One- or two-piece laboratory suits or solid-front gowns and 
wrap-around smocks are preferable. Full-length, long-sleeved, fully 
fastened laboratory coats are allowed.
    (2) Eye protection must be worn when handling nonhuman primates.
    (3) Appropriate gloves must be worn.
    (4) Molded masks or HEPA filtered respirators will be worn in rooms 
housing nonhuman primates.



Sec. 627.25  Biosafety level 3.

    The outer clothing worn in these facilities must never be worn 
outside the facility. Color-coded clothing that is worn only in the 
facility is recommended to remind individuals not to wear it outside. 
The minimum clothing includes--
    (a) Laboratory. (1) Long-sleeved, solid front, or wraparound gowns, 
scrub suits, or coveralls over street attire which includes closed-toe 
shoes. Dedicated shoes, boots, or shoe covers will be worn in the 
facility.
    (2) Appropriate gloves.
    (b) Animal rooms. (1) A complete change of protective clothing on a 
daily basis. Long-sleeved one- or two-piece solid front uniforms, solid-
front gown, wrap-around smocks, or solid front coveralls.
    (2) Eye protection must be worn when handling nonhuman primates.
    (3) Molded masks or HEPA filtered respirators will be worn in rooms 
housing infected animals.
    (4) Shoe covers will be worn and removed before exiting the room; 
alternatively, disinfectant footbaths will be used for each exit from 
the room when infected animals are present.



Sec. 627.26  Biosafety level 4.

    Street clothing must be removed in an outer clothing change room and 
kept there. Clothing worn in the facility will be removed in an inner 
change room and a shower taken before replacing the street clothing. Two 
distinct PPE requirements exist for BL-4 operations:
    (a) Class III biological safety cabinet containment. Clothing 
requirements when all etiologic agents and infected animals are housed 
and manipulated in Class III biological safety cabinets will include--
    (1) Complete change of clothing and wet shower upon exit. This 
includes undergarments, pants and shirts or jump-suits, and shoes. While 
it is preferred that the shower include washing the hair, head covers 
will be worn by those who do not wash their hair on each exit.
    (2) Appropriate inner gloves. The inner gloves will be donned in the 
change room.
    (b) Class I or II biological safety cabinet containment. Clothing 
requirements for this level when etiologic agents are contained in Class 
I or II biological safety cabinets of equivalent partial-containment 
caging systems (for infected animals) (See Sec. Sec. 627.56 and 627.57) 
include--
    (1) Complete change of clothing and wet shower upon exit. This 
includes undergarments, pants and shirts or jump-suits, and shoes. While 
the shower should include washing the hair, head covers will be worn by 
those who do not wash their hair on each exit.
    (2) Appropriate inner gloves will be donned in the change room.
    (3) A one-piece positive pressure suit described in Sec. 627.31(g).

[[Page 581]]

    (4) Impervious boots fitted over the suit.



Sec. 627.27  Large-scale (LS) operations.

    The clothing requirements for these are the same as for the 
corresponding biosafety levels for laboratory operations.



Sec. 627.28  Solutions of toxins and dry forms of toxins in closed 
containers.

    In addition to the minimum clothing specified in Sec. 627.22, 
disposable gloves or gloves designed to protect against the diluent will 
be worn when handling these materials.



Sec. 627.29  Dry forms of toxins handled in open containers.

    In addition to the requirements stated in Sec. 627.28, the 
requirements stated in Sec. 627.18(c) apply.



Sec. 627.30  Situations specified in Sec.  627.18(e).

    The clothing requirements for this section are for the emergency 
procedures specified in Sec. 627.18(e). Because situations can occur 
and there is no feasible or available means to mitigate the potential 
hazard adequately by engineering controls, the clothing requirements 
exceed those required for a properly conducted laboratory operation at 
an equivalent biosafety level. The protective equipment required will be 
selected based upon an assessment of the potential hazards that could be 
encountered. The following clothing requirements are given as a guide. 
The selection of PPE will be based upon the highest possible level of 
contamination that could exist in the room. This will be based upon what 
is known about the operations that were conducted in the room during and 
prior to the current incident. In each situation, the aerosols will be 
allowed to dissipate or settle before entry (approximately 30 minutes). 
The following clothing requirements apply to these situations:
    (a) BL-1. (1) Gloves.
    (2) Outer complete covering such as a pair of coveralls.
    (3) Shoe covers, provided shoes, or safety shoes or boots.
    (4) Eye protection (maintenance only).
    (b) BL-1 LS. The same as described in section 627.30(a) with the 
following additions:
    (1) An impervious apron.
    (2) Impervious boots.
    (c) BL-2 and toxins. (1) Gloves.
    (2) Full outer covering such as a coverall.
    (3) Shoe covers, provided shoes, or safety shoes or boots 
(maintenance).
    (4) An approved half-face or full-face respirator with HEPA filters 
(worn).
    (5) Eye protection.
    (6) An impervious apron (not required for entry only).
    (d) BL-2 LS. The same as Sec. 627.30(c) with the addition of 
impervious boots.
    (e) BL-3 and BL-3 LS. (1) A complete change of clothing.
    (2) Gloves.
    (3) An approved full-face HEPA or HEPA plus charcoal filtered 
respirator.
    (4) An impervious apron (not required for entry only).
    (5) Impervious boots.
    (6) Head cover.
    (f) BL-4. (1) A full change of inner clothing.
    (2) An inner pair of gloves.
    (3) A one-piece positive pressure suit as described in Sec. 
627.31(g), or a one-piece Xsuit with an approved positive pressure self-
contained breathing apparatus (SCBA) and a supplied-air respirator (SAR) 
or both (see Sec. 627.31(f)).
    (4) Appropriate gloves fitted to the suit.
    (5) Impervious boots fitted over the suit.



Sec. 627.31  Specific requirements for individual PPE items.

    (a) Aprons. Simple plastic or rubber aprons.
    (b) Boots. When boots must be worn with an apron, the apron should 
cover the boot tops sufficiently so that liquids splashed on the apron 
will not run into the boots.
    (c) Eye and face protection. Eye protection will meet or exceed the 
requirements of OSHA found in the 29 CFR 1910.133 and will be worn at 
all times when required. Special eye wear may be required around 
ultraviolet (UV) light source.
    (d) Gloves. (1) No one glove will be satisfactory for all 
applications. Gloves are fabricated in a wide assortment of

[[Page 582]]

materials. The type of glove selected will depend upon the specific 
activity. The various activities in biocontainment facilities call for 
gloves to protect against etiologic agents in situations where micro-
manipulations are required and excellent tactile feed-back through 
gloves is important, gloves for handling hot glassware and cryogenic 
materials, and gloves to protect against animal bites, toxic substances, 
chemical carcinogens, solvents, acids, and caustics. Many of these 
requirements call for gloves distinctly different from gloves suitable 
for the other hazards. As a result, the SOP for each operation should 
address these hazards and specify the appropriate glove required for 
each operation. Consult MSDSs, manufacturer glove charts, and the safety 
officer to determine the correct glove type needed.
    (2) Before donning a pair of gloves, examine them closely to 
ascertain that they are in serviceable condition. Check for rips and pin 
holes. Gloves should over-wrap the cuff and lower sleeve of the 
laboratory garment.
    (3) Operations in open-front biological safety cabinets should be 
planned so that once the operator has inserted gloved hands into the 
cabinet, he or she does not have to withdraw them from the cabinet until 
the work has been completed. If gloves become visibly contaminated, they 
will be removed and decontaminated. Additional gloves should be 
available so that work can continue. When wearing gloves for an extended 
period, change them periodically or decontaminate them. Individual SOPs 
will designate the appropriate period based upon the hazards.
    (4) Gloves will be removed before going from one level of 
containment to another (remove gloves in a safety cabinet before 
removing your hands from the cabinet). Take care to ensure that skin is 
not touched with the outer surface of contaminated or potentially 
contaminated gloves when they are removed. Gloves will be placed in 
suitable decontaminant when they are removed. Disposable gloves will be 
placed in a covered container for decontamination or disposal.
    (5) Gloves that are a part of a biological safety cabinet system 
will be examined initially, after each sterilization of the biological 
safety cabinet system, and at least annually for leaks using the soap 
bubble test, followed by the halo-carbon test. Gloves will be tested 
while still attached to the cabinet.
    (6) Sterilization of nondisposable gloves either before use or 
before reuse is usually done with ethylene oxide or formaldehyde gas. 
Sterilized gloves must be aerated in flowing sterile (filtered) air at 
21 [deg]C or higher for a minimum of 24 hours prior to use to prevent 
skin burns and irritation from residual decontaminants.
    (e) Laboratory clothing. Users will check clothing before wearing 
it, to ensure that it is free from defects that would compromise its 
usefulness. Laboratory clothing (except BL-1) will be decontaminated 
before being released for laundering by untrained or unprotected 
personnel. Protective laboratory clothing that requires the wearer to 
pull it over the head will not be used. Laboratory clothing will meet 
OSHA requirements found in the 29 CFR 1910.132.
    (f) One-piece suits. One-piece suits with a respirator under the 
suit are not used to any great extent except in certain emergencies. The 
respirators used with these are supplied air by an approved positive 
pressure SCBA or SAR. Respirators will be of the pressure-demand or 
constant flow type. The air provided will meet OSHA requirements found 
in the 29 CFR 1910.134, the requirements of Grade D breathing air as 
specified in the Compressed Gas Association pamphlet G-7.1 and American 
National Standards Institute (ANSI) Z86.1-1973. When used in an area 
that does not have a chemical shower to decontaminate the suit, a 
decontamination station will be set up for this purpose. Suits 
maintained for emergency use will be inspected at least quarterly and 
respiratory equipment will be inspected monthly.
    (g) One-piece positive pressure suits. A life-support system will be 
provided with alarms and emergency backup breathing tanks. The air 
provided will be HEPA-filtered meeting OSHA requirements found in the 29 
CFR 1910.134, the requirements of Grade D breathing air as specified in 
the Compressed Gas Association pamphlet G-7.1

[[Page 583]]

and ANSI Z86.1-1973. A HEPA-filter will be in-line between the 
disconnect on the suit and the breathing space in the suit. When these 
are used in other than an emergency situation, a chemical shower must be 
provided to decontaminate the surfaces of the suit as the worker leaves 
the containment area. Suits will be inspected before each use to check 
for indications of significant wear or leakage. The suits will be worn 
with impervious boots over the foot area of the suit and the outer 
gloves will be attached over the hand portion.
    (h) Respiratory protection equipment. (1) Respirators and their use 
will be approved by the safety officer. The selection will be based on 
the conditions of the activities and the risks involved. In general, 
National Institute for Occupational Safety and Health (NIOSH) approved 
respirators that use aerosol filters for dusts and fumes having a 
Threshold Limit Value (TLV) of less than 0.05 mg/m\3\ have been found 
acceptable for use in microbiological laboratories. Alternatively, the 
Army M-17 or M-9 masks may be used. Air-supplied hoods are used in 
situations where greater respiratory protection is required without the 
need for body protection. One-piece suits are used when total body and 
respiratory protection are required.
    (2) When respirators are used, a respirator protection program will 
be established that conforms to AR 11-34 and OSHA standards in the 29 
CFR 1910.134. In general, a medical authority will designate who is to 
wear respirators, they will be fitted by individuals trained in their 
use and limitations, and wearers will be responsible for the proper 
storage and regular inspection of their assigned respirators. Air-
purifying respirators will not be worn in oxygen deficient environments.
    (3) Reusable respirators that have been worn in a contaminated area 
will be decontaminated before reuse. At the end of each workday when a 
respirator has been worn in an area where it was required, the wearer 
will wipe it down with an appropriate liquid decontaminant. A damp cloth 
soaked in the decontaminant, with the excess liquid squeezed out, will 
be used for the wipe-down process, taking care to ensure that all 
crevices are reached. The respirator will be rinsed with clean, warm 
water. Visibly contaminated respirators will be decontaminated and 
discarded.
    (4) Respirator programs will comply with AR 385-10 and AR 11-34.
    (i) Shoes. All shoes specially issued for use in controlled access 
areas should be identified so that they can be segregated from other 
areas. Safety shoes or boots meeting OSHA requirements stated in the 29 
CFR 1910.134 will be issued wherever heavy items or corrosive chemicals 
are handled. These will be sterilized appropriately after visible 
contamination. In certain situations (excluding BL-4 operations), it is 
desirable to wear disposable booties over street shoes, especially when 
product protection is required.



                 Subpart E_Decontamination and Disposal



Sec. 627.32  Introduction.

    All material or equipment that is potentially contaminated with 
etiologic agents must be rendered nonhazardous before disposal. This 
chapter describes the acceptable physical and chemical decontamination 
methods and the general applicability of each. In general, all 
infectious materials and all contaminated equipment or apparatus will be 
sterilized before being washed and stored or discarded.



Sec. 627.33  Methods of decontamination.

    (a) Autoclave. The use of wet heat is the most dependable procedure 
for destroying all forms of microbial life. An autoclave employs 
saturated steam under a pressure of approximately 15 pounds per square 
inch (psi) to achieve a chamber temperature of at least 121 [deg]C for a 
minimum of 15 minutes. The time is measured after the temperature of the 
material being sterilized reaches 121 [deg]C. Other combinations of 
temperature and pressure (some of which are dependent on the equipment 
used) can be used to accomplish sterilization provided that the efficacy 
of sterilization is validated as described below. The most critical 
factor in ensuring the reliability of this sterilization method, other 
than proper temperature, is preventing entrapped air that is not 
replaced by stem. Material to be

[[Page 584]]

autoclaved must come in contact with steam and heat and, as a result, it 
may be necessary to add water to a load of waste to aid in the formation 
and penetration of steam. Autoclaves use either a steam-activated 
exhaust valve that reamins open during the replacement of air by live 
steam until the steam triggers the valve to close, or a pre-cycle vacuum 
to remove air prior to steam introduction.
    (b) Sterilization will be verified using biological indicators (for 
example, Bacillus stearothermophilus spores) at locations throughout the 
autocalve, to include placement in the center of test loads, when the 
autoclave is first put into service, and after any maintenance or 
repairs. The primary means of verifying routine sterilization will be 
through using chemical indicators (for example, autoclave tape or 
labels) at locations throughout the autoclave. In addition each 
autoclave will be equipped with a permanent means to record time and the 
temperature of each operational event as a means of ensuring 
sterilization. The type of materials being handled must be reviewed and 
standard conditions for sterilization of each established. As a guide, 
the manufacturer's manual for the autoclaves will be consulted as a 
starting point in establishing these conditions. Treatment conditions to 
achieve sterility will vary in relation to the volume of material 
treated, the contamination level, the moisture content, and other 
factors that should be considered and which may cause the times to 
lengthen. In each case, the conditions will be established based on 
tests which verify that the conditions selected are effective. In 
addition to being effective from viable agents, autoclaving effectively 
inactivates most protein toxins.
    (c) Dry heat. Dry heat requires longer times or higher temperatures 
or both than does wet heat. If used, the specific sterilization times 
and temperatures must be determined for each type of material being 
sterilized. In general, sterilization by dry heat can be accomplished at 
169-170 [deg]C for periods of 2 to 4 hours. Higher temperatures reduce 
the time requirements. The heat transfer properties and spatial relation 
or arrangement of materials in the load are critical in ensuring 
effective sterilization.
    (d) Liquid disinfectants. Liquid disinfectants may be used in 
surface treatment, in dip tanks, and, at sufficient concentration, as 
sterilants of liquid waste for final disposal. If liquid disinfectants 
are used, they must have been shown to be effective against the 
organisms present. Important considerations include: temperature, time 
of contact, the negative logarithm of hydrogen ion concentration (pH), 
concentration and state of dispersion, penetrability, and reactivity of 
organic material at the site of application. Small variations in these 
factors may make large differences in the effectiveness of disinfection, 
so complete reliance should not be placed on liquid disinfectants when 
the end result must be sterility. If evidence of efficacy under the 
proposed procedures has not been reported previously, preliminary 
studies to verify the efficacy of liquid disinfectants must be 
conducted. Such studies may include attempts to recover and quantitate 
the agent in question from liquid or swab samples, or sealed patches, by 
animal inoculation, plaque assay, agar or broth cultivation, and similar 
methods, following controlled decontamination under the same 
experimental conditions envisioned for the proposed studies.
    (1) Alcohol. Ethyl or isopropyl alcohol at the concentration of 70-
85 percent by weight will denature proteins but is slow in its 
germicidal action. Alcohols are effective disinfectants for lipid-
containing viruses. These alcohols exhibit no activity against bacterial 
spores.
    (2) Phenolic compounds. These are effective disinfectants against 
vegetative bacteria, including Mycobacterium tuberculosis, fungi, and 
lipid-containing viruses. The phenolics are not effective against 
bacterial spores or non-lipid-containing viruses. The concentrations 
used will be in accordance with the manufacturer's recommendations.
    (3) Formaldehyde solutions. Formaldehyde in solution at a 
concentration of 8 percent (formalin) is effective against vegetative 
bacteria, spores, and viruses. It loses considerable disinfectant 
activity below room temperature. Due to the toxic properties of 
formaldehyde, the use of formalin is restricted

[[Page 585]]

to surfaces or materials that are contained within appropriate 
engineering controls.
    (4) Quaternary ammonium compounds. These cationic detergents are 
strongly surface-active. They lose effectiveness in the presence of 
proteins and are neutralized by anionic detergents, such as soap. At low 
concentrations, they are bacteriostatic, tuberculostatic, sporostatic, 
fungistatic, and algistatic. At medium concentration, they are 
bactericidal, fungicidal, algicidal, and virucidal against lipophilic 
viruses. They are not tuberculocidal, sporicidal, or virucidal against 
hydrophilic viruses, even at high concentrations. The manufacturer's 
recommended dilution will be used.
    (5) Chlorine. Sodium hypochlorite is normally used as a base for 
chlorine disinfectants. Free available chlorine is the active ingredient 
and, at concentrations of at least 2,500 parts per million (ppm) (0.25 
percent), is a disinfectant that is active against most microorganisms 
and bacterial spores. Chlorine solutions at 2.5 percent free available 
chlorine are effective against most toxins. Chlorine solutions lose 
strength if exposed to air, so fresh solutions must be prepared whenever 
the free chlorine content falls below desired minimums.
    (6) Iodine. The characteristics of chlorine and iodine are similar. 
Iodophor compounds with 1,600 ppm free available iodine provide a 
relatively rapid inactivation of all microorganisms, including some 
bacterial spores. A commonly available iodophor is Wescodyne. The 
manufacturer of Wescodyne recommends a range of dilution form 1 to 3 
ounces per 5 gallons of water, giving a solution containing from 25 to 
75 ppm of free iodine. At these concentrations, available iodine may be 
rapidly taken up by any extraneous protein present and will not be an 
effective sporocide. A solution providing 1,600 ppm iodine is 
recommended for hand washing or for use as a sporocide.
    (7) Mercurials. Although the mercurials exhibit good activity 
against viruses, they are toxic and are not recommended for general use. 
They have poor activity against vegetative bacteria and are totally 
ineffective sporicides. The dilution recommendations stated by the 
manufacturer will be followed.
    (e) Vapors and gases. Formaldehyde, ethylene oxide, peracetic acid, 
beta-propiolactone, methyl bromide, and glutaraldehyde have all been 
used successfully as space sterilants where they can be employed in 
closed systems and with controlled conditions of temperature and 
humidity. Of these, methyl bromide, beta-propiolactone, and 
glutaraldehyde are not recommended because of their toxic properties. 
Peracetic acid can readily decompose with explosive violence in a 
concentrated state and must be used only in a diluted state and with 
extreme care. Formaldehyde and ethylene oxide are both regulated by OSHA 
for their potential human carcinogenicity, but do have permissible 
exposure levels (unlike beta-propiolactone, for example) and can be used 
safely under controlled conditions.
    (1) Formaldehyde. Formaldehyde gas is, in general, the chemical of 
choice for space disinfection. Biological safety cabinets and associated 
effluent air-handling systems and air filters, incubators, laboratory 
rooms, buildings, or other enclosed spaces can be disinfected with 
formaldehyde. The procedures found in appendix E of the National 
Sanitation Foundation Standard Number 49 will be followed for the 
disinfection of biological safety cabinets. Other enclosures or areas 
will be disinfected by following the same principles. To disinfect 
rooms, the generation of formaldehyde gas from heating powdered or flake 
paraformaldehyde is the preferred method. When area decontamination is 
performed, use 0.3 grams of paraformaldehyde for each cubic foot of 
space to be treated. The room or area must be above 70 [deg]F, the 
relative humidity above 70 percent, and the exposure time at least 2 
hours (overnight is preferred). After the required time for 
disinfection, the room must be cleared of the formaldehyde gas (a small 
room with nonporous surfaces and no materials or equipment in the room 
can be cleared of all detectable formaldehyde by aeration for one hour, 
while larger areas with equipment in them may take a full day). Before 
formaldehyde is used as a space

[[Page 586]]

disinfectant, the area to be treated must be surveyed to ensure that 
there are no open containers of any acidic solution containing chloride 
ion in order to prevent the possible formation of bis 
(chloromethyl)ether, a human carcinogen. Specific OSHA requirements for 
posting of rooms and equipment, personnel protection, and other 
requirements are found in 29 CFR 1910.1048.
    (2) Ethylene oxide (EtO). EtO sterilization will only be conducted 
in a sterilizer designed for that purpose and designed to maintain 
potential exposure levels below the current OSHA standard. EtO is 
effective against all microorganisms, including spores, molds, 
pathogenic fungi, and highly resistant thermophilic bacteria. All 
materials to be used in contact with human skin (for example, clothing, 
shoes, masks, adhesive tape) must be aerated for at least 24 hours after 
sterilization and prior to use. Concentrations of 500 to 1000 ppm are 
required for sterilization. Specific OSHA requirements for the use of 
ethylene oxide are found in 29 CFR 1910.1047.
    (f) UV Radiation. UV radiation at a wave length of 253.7 nanometers 
is a practical method for inactivating airborne virsuses, mycoplasma, 
bacteria, and fungi. The usefulness of UV radiation on exposed surfaces 
is limited by its low penetrating power. UV radiation shall only be 
relied upon to sterilize surfaces when conventional methods, such as 
autoclaving or the use of liquid disinfectants, would make the product 
unusable. An example is data sheets that must be brought out of a 
biocontainment facility. The UV intensity must be at least 40 
microwatts/cm\3\ on the surface to be treated. Single sheets of paper 
may be treated by exposing them to this radiation for a minimum of 15 
minutes. A calibrated photoelectric UV intensity meter, capable of 
measuring UV radiation at a wave length of 253.7 nanometers, will be 
used whenever a new UV source is installed, and quarterly thereafter, to 
ensure the UV source is providing at least 40 microwatts/cm\3\ at the 
work surface. Bulbs should be cleaned routinely to remove any 
accumulated dust and prolong bulb performance and assure proper energy 
output. Protective eye wear and clothing may be necessary when working 
around UV radiation.



Sec. 627.34  Disposal.

    Inactivation is the first step in the disposal of etiologic agents 
or materials that are potentially contaminated with them. All 
contaminated or potentially contaminated materials must be effectively 
disinfected or sterilized by an approved procedure discussed in Sec. 
627.33. After decontamination, reusable items, such as clothing or 
glassware, may be washed with other uncontaminated or decontaminated 
items.
    (a) Combustible items. Combustible disposable items should be bagged 
and incinerated in an appropriate approved incinerator or otherwise 
disposed of in accordance with State and local regulations.
    (b) Noncombustible disposable items. Items will be packaged as 
stated in Sec. 626.34(e) and disposed of by a licensed waste hauler.
    (c) Equipment. Equipment that cannot be autoclaved will be 
decontaminated by gaseous sterilization or with a suitable liquid 
disinfectant. Such equipment will be certified as decontaminated by the 
safety officer.
    (d) Waste. Materials generated, such as solvents, acids, chemical 
carcinogens, radioactive isotopes, medical waste, or dead animals must 
be decontaminated, packaged, and then disposed of in accordance with 
EPA, NRC, local, State, and Federal regulations.
    (e) Mixed waste. When two or more hazardous materials are mixed 
together, the mixture will be decontaminated and disposed of in 
accordance with EPA, NRC, State, and Federal regulations for the 
mixture, or for the most hazardous material.
    (f) Packaging. Solid waste will be placed in cans, sturdy bags, or 
boxes. Rigid, puncture-resistant, sealable containers will be used for 
packaging ``sharps.'' When wet materials are packaged for disposal, the 
materials will be placed in a leak-proof container. Heavy waste will be 
placed in rigid containers ensuring that the burst strength of the 
container is not exceeded.

[[Page 587]]

    (g) Labeling. A method of verifying that all items prepared for 
disposal have been decontaminated will be established for etiologic 
agent wastes. Mixed waste will be labeled as appropriate to indicate the 
hazards that must be addressed after decontamination.
    (h) Recordkeeping. A manifest will be initiated and maintained, 
where required, to record the disposition and transfer of waste. 
Applicable Federal, State, and local ordnances will be followed.



   Subpart F_Importation, Shipment, and Transport of Etiologic Agents



Sec. 627.35  Introduction.

    The CDC of the Public Health Service (PHS), the United States 
Department of Agriculture (USDA), the Food and Drug Administration 
(FDA), the Department of Transportation (DOT), the United States Postal 
Service and the International Air Transport Association (IATA) regulate 
the importation, shipment, and transportation of etiologic agents. This 
chapter outlines the minimum administrative requirements the commander 
or institute director are to follow and gives sources for information on 
the requirements for importation, packaging, labeling, and shipment of 
etiologic agents.



Sec. 627.36  Administration.

    The commander or institute director will establish the following 
controls to ensure that etiologic agents are transported with proper 
authorization, controls, and procedures:
    (a) Institute policies will be established in writing to ensure that 
before etiologic agents are acquired or shipped--
    (1) The division chief responsible for the area where work with 
etiologic agents is to be conducted approves all acquisitions or 
shipments.
    (2) The safety officer is informed in writing of the type and amount 
of any BL-4 or USDA-restricted etiologic agent (listed in HHS 
publication No. (NIH) 88-8395 or current edition) being received, and 
the estimated date of arrival.
    (3) The recipient of all etiologic agents shipped from an institute 
will be documented.
    (4) The commander or institute director approves all acquisitions 
and shipments of BL-4 or USDA-restricted etiologic agents.
    (5) The commander or institute director approves all requests for 
shipments to or from foreign countries and to individuals not affiliated 
with an institution or agency (for example, physicians in private 
practice).
    (6) The Office of The Surgeon General, United States Army, or the 
Commander, United States Army Materiel Command (AMC) approves the 
initial acquisition and use of all reference stocks of etiologic agents 
and transfers between Army RDTE activities in accordance with AR 70-65.
    (7) There is full compliance with the regulatory requirements 
referenced in Sec. Sec. 627.37, 627.38, 627.39 and 627.40.
    (8) The following information regarding the recipient and the 
intended use of BL-4 and USDA-restricted animal pathogens, will be kept 
on file for 10 years. This information will also be kept for all 
shipments to or from foreign countries and to individuals not affiliated 
with an institution or agency (for example, physicians in private 
practice).
    (i) The requester's name and address.
    (ii) The type and amount of the etiologic agent to be sent.
    (iii) The qualifications of the recipient of the etiologic agent.
    (iv) The intended use of the etiologic agent.
    (v) A statement indicating that the agent is not for human use.
    (b) Etiologic agents assigned to biosafety level 1, 2, or 3, 
approved for shipment, and properly labeled and packaged may be shipped 
by commercial cargo carriers.
    (c) All etiologic agents assigned to BL-4 or USDA-restricted animal 
pathogens approved for shipment and properly packaged, will be 
accompanied by a designated courier, or under close supervision of a 
responsible party who will monitor aspects of the shipment, ensuring 
that required transfers have been completed and documented and final 
receipt has been accomplished and acknowledged.

[[Page 588]]



Sec. 627.37  Importation directives.

    Importation of etiologic agents is subject to the Public Health 
Service Foreign Quarantine Regulations (42 CFR 71.156). Examples of 
permits authorizing the importation or receipt of regulated materials 
and specifying conditions under which the etiologic agent is shipped, 
handled, and used are contained in appendix E to this part.



Sec. 627.38  Shipment directives.

    Shipping unmarked and unidentified etiologic agents is prohibited. 
Etiologic agents will be packaged, labeled, and shipped according to the 
requirements found in the Interstate Shipment of Etiologic Agents 
Regulations (42 CFR part 72) and its amendments. The USDA regulations in 
9 CFR parts 102 through 104, 122 and the FDA regulations in 21 CFR parts 
312 and 600 through 680 will also be followed as applicable. Packaging 
and labeling requirements for interstate shipment of etiologic agents 
are summarized and illustrated in appendix D. Permits authorizing the 
shipment of regulated materials and specifying conditions under which 
the etiologic agent is shipped, handled, and used are contained in 
appendix E to this part.



Sec. 627.39  Transportation directives.

    The packaging and labeling requirements cited above must be followed 
for the local transport of etiologic agents and diagnostic specimens by 
courier or by other delivery services. Similar requirements and 
restrictions applicable to the transport of etiologic agents, diagnostic 
specimens, and biological products by all modes of transportation (that 
is, air, motor, rail, and water) are imposed by the Department of 
Transportation (49 CFR part 173), IATA ``Dangerous Goods Regulations,'' 
the Air Transport Association ``Restricted Articles Tariff 6-D,'' the 
International Civil Aviation Organization (ICAO), Postal Bulletin No. 
21246 ``International Mail-Hazardous Materials,'' 39 CFR, and, the 
Domestic Mail Manual. When shipments exceed 4 liters, the requirements 
found in AR 740-32 will be followed.



Sec. 627.40  Additional requirements.

    Additional requirements for importation, shipment, and 
transportation of infectious agents and hazardous materials that must be 
followed are contained in the following directives:
    (a) AR 40-12, Medical and Agricultural Foreign and Domestic 
Quarantine Regulations for Vessels, Aircraft, and Other Transports of 
the Armed Forces.
    (b) AR 70-65, Management of Controlled Substances, Ethyl Alcohol, 
and Hazardous Biological Substances in Army Research, Development, Test, 
and Evaluation Facilities.



Sec. 627.41  Sources for further information on shipment of etiologic 
agents.

    (a) Guide for Transportation of Hazardous Materials, Vol. 4(1), 
February 10, 1975. Copies are obtainable from the Office of Research 
Grants Inquiries, NIH, Department of Health and Human Services, 5333 
Westbard Avenue, Bethesda, MD 20205.
    (b) The CDC, Office of Biosafety, 1600 Clifton Road N.E., Atlanta, 
Georgia 30333. Telephone (404) 639-3883, or FTS: 236-3883.
    (c) The American Type Culture Collection (ATCC), Packaging and 
Shipping of Biological Materials at ATCC. Copies may be obtained from 
the ATCC, 12301 Parklawn Drive, Rockville, MD 20852. Phone (301) 881-
2600.
    (d) National Committee for Clinical Laboratory Standards (NCCLS), 
Procedures for the Domestic Handling and Transport of Diagnostic 
Specimens and Etiologic Agents, (H5-A2), Second edition. Vol. 5, No. 1. 
Copies are obtainable from the NCCLS, 771 East Lancaster Avenue, 
Villanova, PA 19085.



                          Subpart G_Facilities



Sec. 627.42  Introduction.

    The design of the facility is important in providing a secondary 
barrier to protect individuals inside and outside the facility. Because 
the hazards presented by various organisms and materials vary, the 
requirements for the facility will vary accordingly. The minimum 
facility requirements for the various biosafety levels and toxins are 
described below. The biosafety levels correspond to those described in 
the

[[Page 589]]

HHS Publication Biosafety in Microbiological and Biomedical Laboratories 
(HHS No. (NIH) 88-8395), while the large-scale biosafety levels were 
adapted from those described in the NIH Guidelines for Research 
Involving Recombinant DNA Molecules.



Sec. 627.43  Biosafety level 1.

    (a) Laboratories. Each laboratory used for this level will, as a 
minimum, have the following features:
    (1) A sink for handwashing.
    (2) Work surfaces that are impervious to water and resistant to 
acids, alkalis, organic solvents, and moderate heat.
    (3) Fly screens on any windows that can be opened.
    (4) Furnishings and surfaces that are sturdy and designed to be 
easily cleaned.
    (5) Spaces between furnishings and equipment that are accessible for 
cleaning.
    (b) Animal facilities. Each room will have the following features:
    (1) Design and construction to facilitate cleaning and housekeeping.
    (2) A sink for handwashing within the facility.
    (3) Fly screens on any windows that can be opened.
    (4) Ventilation designed so that the direction of airflow in the 
animal facility is inward, with the exhausted air discharged to the 
outside without being recirculated.
    (5) Self-closing doors that open inward.



Sec. 627.44  Biosafety level 2.

    (a) Laboratories. Each laboratory used for this level of hazard will 
have, in addition to the requirements stated in Sec. 627.43(a), the 
following:
    (1) An autoclave available.
    (2) Containment equipment necessary for the operations unless the 
safety officer approves the use of a compensatory level of personal 
protective equipment.
    (3) An eyewash available near the laboratory.
    (b) Animal facilities. In addition to the requirements stated in 
Sec. 627.43(b), facilities will include--
    (1) A sink for handwashing in each room where animals are housed.
    (2) An autoclave available in the building.
    (3) Appropriate containment equipment unless the safety officer 
approves the use of a compensatory level of personal protective 
equipment.



Sec. 627.45  Biosafety level 3.

    (a) General requirements. Each suite used as a laboratory or in 
which infected animals are housed will, as a minimum, have the following 
features:
    (1) Physical separation from areas which are open to unrestricted 
traffic.
    (2) All entrances to each laboratory or animal room from the 
nonlaboratory access corridors will be through two sets of doors. A 
change room or airlock may be incorporated between the doors.
    (3) The interior surfaces of walls, floors, and ceilings will be 
water resistant so that they may be easily cleaned.
    (4) All penetrations into the walls, floors, and ceilings should be 
sealed or capable of being sealed to facilitate decontamination.
    (5) A foot, elbow, or automatically operated sink will be located 
near the exit door to each laboratory or animal room.
    (6) An autoclave should be in each laboratory or animal room and 
will be available to the facility.
    (7) A ventilation system that will--
    (i) Create directional airflow that draws air into the laboratory 
through the entry areas.
    (ii) Not recirculate laboratory air.
    (iii) Discharge the exhaust air from the laboratory to the outside 
and disperse the exhaust air away from occupied areas and air intakes.
    (iv) Exhaust the HEPA-filtered air from Class I or II biological 
safety cabinets or other primary containment devices directly to the 
exterior of the laboratory or through the building exhaust system. 
Exhaust air from the cabinets may be recirculated within the laboratory 
if the cabinet is tested and certified at least every 12 months. If the 
filtered cabinet exhaust is discharged through the building exhaust 
system, it will be connected to this system in a manner (for example, 
thimble unit connection) that avoids any interference with the air 
balance of the

[[Page 590]]

cabinets or the building exhaust system.
    (8) All windows to the facility will be sealed shut.
    (9) Appropriate biological safety cabinets or other specialized 
containment equipment will be provided.
    (10) Any vacuum line in the facility will have a HEPA filter and 
liquid disinfectant trap.
    (11) Bench tops that are impervious to water and resistant to acids, 
alkalis, organic solvents, and moderate heat.
    (12) Furnishings that are sturdy and spaces between benches, 
cabinets, and equipment that are accessible for cleaning.
    (13) An eyewash available in or near the laboratory.
    (b) Additional animal facility requirements. In addition to the 
requirements given in Sec. 627.44(b) and 627.45(a), all doors to the 
animal rooms will open inward and be self-closing.



Sec. 627.46  Biosafety level 4.

    The engineering controls within the facility must provide absolute 
biological containment. All procedures with etiologic agents requiring 
this biosafety level of facilities, equipment, and procedures must be 
conducted either in Class III biological safety cabinets, or in a 
facility that is designed for the use of a personal positive pressure 
suit as described in Sec. 627.46(b) in conjunction with Class I or II 
biological safety cabinets.
    (a) General requirements. The facility will have the following 
features:
    (1) A separate building or a clearly demarcated and isolated area 
within a building which incorporates positive personnel control for 
access.
    (2) All entrances from access corridors incorporate an inner and 
outer change room.
    (3) Inner and outer change rooms separated by a shower facility.
    (4) A double-doored autoclave, fumigation chamber, or ventilated 
airlock for passage of all items which do not enter the facility through 
the change room.
    (5) Interior surfaces of walls, floors, and ceilings resistant to 
water and chemicals to facilitate cleaning and disinfecting.
    (6) Walls, floors, and ceilings of the facility constructed to form 
a sealed internal shell which facilitates fumigation and is animal and 
insect proof.
    (7) All penetrations into the walls, floors, and ceilings sealed.
    (8) All liquid drains in the facility connected directly to a liquid 
waste decontamination system.
    (i) Holding tanks collecting waste from sinks, biological safety 
cabinets, floors, and autoclave chambers provide decontamination by heat 
treatment.
    (ii) Holding tanks collecting waste from shower rooms and toilets 
provide decontamination by heat or chemical disinfectant methods.
    (9) Sewer and other ventilation vents contain in-line HEPA filters.
    (10) Internal facility appurtenances (for example, light fixtures, 
air ducts, and utility pipes) arranged to minimize the horizontal 
surface area on which dust can settle.
    (11) A foot, elbow, or automatically operated handwashing sink 
located near the exit door to each laboratory or animal room.
    (12) Self-closing and lockable access doors.
    (13) A ventilation system that--
    (i) Is dedicated to the facility and provides fresh air meeting 
American Society of Heating, Refrigerating, and Air Condition Engineers, 
Inc. (ASHRAE) Standard 62.
    (ii) Maintains a negative pressure differential and assures flow 
inward from areas outside of the facility toward areas of highest 
potential risk.
    (iii) Has manometers or magnehelic gauges to provide, sense, and 
display pressure differentials between adjacent areas maintained at 
different pressure levels. An alarm will sound when the pressures fall 
below acceptable levels.
    (iv) Has the air supply and exhaust interlocked to ensure that 
exhaust failure or reduction will not allow the air pressure in the area 
to become positive to the adjacent areas.
    (v) Does not recirculate exhaust air.
    (vi) Is HEPA-filtered and discharged to the outside, dispersing the 
exhaust air away from occupied areas and air intakes.
    (vii) Has the HEPA filters on the exhaust located as near to the 
rooms as is practicable.

[[Page 591]]

    (viii) Has the filter chambers designed to allow in-place 
decontamination before the filters are removed and to facilitate 
certification testing.
    (ix) Contains prefilters and HEPA filters in the air supply system 
to protect the supply air system should air pressures become unbalanced.
    (x) Exhausts the HEPA-filtered air from Class I or II biological 
safety cabinets directly into the laboratory or to the exterior of the 
building. If the HEPA-filtered exhaust from these cabinets is 
recirculated, the cabinets are tested and certified every 6 months. If 
the filtered cabinet exhaust is discharged through the building exhaust 
system, it will be connected to this system in a manner (for example, 
thimble unit connection) that avoids any interference with the air 
balance of the cabinets or the building exhaust system.
    (xi) Passes the treated exhaust air from Class III biological safety 
cabinets through two sets of HEPA filters in series to the exterior of 
the facility through the laboratory exhaust air system.
    (14) Windows (if present) sealed shut and breakage resistant.
    (15) Has a double-doored autoclave for decontaminating materials 
passing out of the facility. The autoclave door that opens to the area 
external to the facility is sealed to the outer wall and automatically 
controlled so that it can only be opened after the autoclave 
sterilization cycle has been completed.
    (16) Has a pass-through dunk tank, fumigation chamber, or an 
equivalent decontamination method for materials and equipment that 
cannot be autoclaved.
    (17) Has central vacuum systems (if present) that--
    (i) Do not serve areas outside the facility.
    (ii) Have an in-line HEPA filter placed as near as practicable to 
each use point or service cock.
    (iii) Have filters designed to allow in-place decontamination and 
replacement.
    (18) Liquid and gas services to the facility provided with 
protective devices that prevent backflow.
    (b) Additional requirements for personal positive pressure suit 
areas. If personal positive pressure suits are worn in lieu of using 
Class III biological safety cabinets for containment, a special suit 
area will be provided. The suit area will provide the following, in 
addition to the requirements stated in Sec. 627.46(a):
    (1) An exhaust system dedicated to that area that provides 
filtration by two sets of HEPA filters installed in series. This system 
will be backed up by a duplicate filtration unit, exhaust fan, and an 
automatically starting emergency power source. The ventilation system 
will maintain the suit area under negative pressure relative to the 
surrounding areas.
    (2) An entry area consisting of an airlock fitted with airtight 
doors.
    (3) A chemical shower to decontaminate the surface of the personal 
positive pressure suit upon exit.
    (4) An air supply and distribution system to support the life 
support system of the personal positive pressure suits.
    (5) Emergency lighting and communications systems.
    (6) Sealed penetrations into the internal shell of the area.
    (7) A double-doored autoclave to decontaminate waste materials to be 
removed from the suit area.
    (c) Additional laboratory requirements. In addition to those given 
in Sec. 627.45, if water fountains are provided, they will be foot 
operated and located in the facility corridors outside the laboratory.
    (d) Additional animal facility requirements. In addition to those 
requirements given in Sec. 627.45, all animal facility external doors 
will be self-locking.



Sec. 627.47  Large-scale facilities.

    The following requirements apply to facilities in which an 
individual culture of viable etiologic agents exceed 10 liters:
    (a) BL-1 LS. In addition to the laboratory requirements stated Sec. 
627.43(a), the exhaust gases removed from a closed system or other 
primary containment equipment shall be treated by filters which have 
efficiencies equivalent to HEPA filters or by other equivalent 
procedures (for example, incineration) to minimize the release of viable 
organisms.

[[Page 592]]

    (b) BL-2 LS. In addition to the requirements stated in Sec. Sec. 
627.44(a) and 627.47(a), these facilities will have--
    (1) Rotating seals and other mechanical devices directly associated 
with a closed system used to contain viable organisms shall be designed 
to prevent leakage or shall be fully enclosed in ventilated housings 
that are exhausted through filters which have efficiencies equivalent to 
HEPA filters or through equivalent treatment devices.
    (2) A closed system used to propagate and grow viable organisms 
shall include monitoring or sensing devices that monitor the integrity 
of containment during operations.
    (3) Closed systems used for the propagation and growth of viable 
organisms shall be tested operationally for integrity of the containment 
features. The containment will be rechecked following modification or 
replacement of essential containment features. Procedures and methods 
used in the testing shall be appropriate for the equipment design and 
for recovery and demonstration of the test organism. Records of tests 
and results shall be maintained on file.
    (c) BL-3 LS. The requirements stated in Sec. Sec. 627.45 and 
627.57(b) apply, and all closed systems and other primary containment 
equipment used in handling cultures of viable organisms shall be located 
within a controlled area which meets the requirements of a BL-3 facility 
plus the following requirements:
    (1) All utilities and service or process piping or wiring entering 
the controlled area shall be protected against contamination.
    (2) A shower facility shall be provided. This facility shall be 
located near the controlled area.
    (3) The controlled area shall be designed to preclude release of 
culture fluids outside in the event of an accidental spill or release 
from the closed systems or other primary containment equipment.
    (4) The controlled area shall have a ventilation system capable of 
controlling air movement. The movement of air shall be from areas of 
lower contamination potential to areas of higher contamination 
potential. If the ventilation system provides positive pressure supply 
air, the system shall operate so as to prevent the reversal of air 
movement or shall be equipped with an alarm that would be actuated if 
reversal in the direction of air movement were to occur. The exhaust air 
from the controlled area shall not be recirculated to other areas of the 
facility. The exhaust air from the controlled area may be discharged to 
the outdoors after filtration or other means of effectively reducing an 
accidental aerosol burden, and dispersed clear of occupied buildings and 
air intakes.



Sec. 627.48  Toxins.

    General requirements for all facilities in which toxins are used are 
as follows. Such facilities will--
    (a) Have a ventilation system that provides three to six air changes 
per hour, and that provides a directional airflow inward relative to the 
access halls.
    (b) Have a sink for handwashing.
    (c) Have an eyewash available.
    (d) Have bench tops that are impervious to water and resistant to 
acids, alkalis, organic solvents, and moderate heat.
    (e) Have furniture, furnishings, and surfaces that are sturdy and 
designed to be easily cleaned.
    (f) Be arranged so that items are accessible for cleaning.
    (g) Have a quick-drench shower available within the facility.
    (h) A fume hood, biological safety cabinet, glove box, or equivalent 
engineering control equipped with HEPA filters and with charcoal filters 
if volatile materials are being used.



                     Subpart H_Engineering Controls



Sec. 627.49  Introduction.

    As required by the OSHA and recommended by the American Industrial 
Hygiene Association (AIHA) and the CDC, engineering controls and proper 
microbiological techniques are the primary means of protecting personnel 
who work with potentially hazardous biological materials. In situations 
of potentially higher hazard, these engineering controls are 
supplemented by personal protective clothing and equipment. Thus, the 
engineering controls discussed in this chapter will be the

[[Page 593]]

primary means of personnel and environmental protection when working 
with etiologic agents. Because of the importance of these engineering 
controls, this chapter contains not only requirements for the 
engineering and construction of these controls, but also requirements 
for their certification and continuous satisfactory performance. These 
will be described for each engineering control.



Sec. 627.50  Class I biological safety cabinet.

    (a) Description. The Class I biological safety cabinet (figure H-I 
in appendix F to this part) is a ventilated cabinet for personnel 
protection only. The cabinet provides an uncirculated inward flow of air 
away from the operator. The exhaust is passed through a HEPA filter. It 
may be discharged into the laboratory or vented out of the laboratory 
and dispersed away from occupied spaces or air intakes. When the exhaust 
is recirculated in a BL-2 or BL-3 facility, the cabinet must be tested 
and certified annually. In a BL-4 facility, if the exhaust is 
recirculated, the cabinet must be tested and certified semiannually.
    (b) Uses. These cabinets are used if personnel protection against 
the microorganisms is required; for modest quantities of volatile, 
toxic, or radioactive chemicals (in concentrations and quantities 
associated with biological systems) if vented to the outside; and when 
sterility is not required. They are commonly used for housing tabletop 
centrifuges, in the necropsy of small animals, and for changing animal 
bedding.
    (c) Prohibitions. This class of cabinet is not to be used when 
sterility must be maintained. In addition, volatile, toxic, or 
radioactive materials can not be used in this class of cabinet when the 
exhaust air is not exhausted to the exterior.
    (d) Certifications and requirements. (1) The inward air velocity on 
these cabinets will be an average of 100 plus or minus 20 linear feet 
per minute (lfpm). Each cabinet must be certified before use and 
semiannually thereafter by a face velocity test. Additionally, smoke 
tests will be performed annually to verify containment.
    (2) The exhaust system will have a HEPA filter, which will be tested 
initially upon installation, after repair or replacement, and every 2 
years thereafter (except when required more often). Filters will be 
certified to be 99.97 percent effective in capturing particulate matter 
by a leakage test using mineral oil or other appropriate aerosol 
dispersed as 0.3 micron droplets.



Sec. 627.51  Class II biological safety cabinet.

    All Class II biological safety cabinets (figure H-II in appendix F 
to this part) are ventilated cabinets for personnel and product 
protection, having an open front with inward air flow for personnel 
protection.
    (a) Operating standards. (1) All of these cabinets must conform and 
be certified to meet National Sanitation Foundation (NSF) Standard No. 
49 revised, June 1987, for the applicable type of cabinet.
    (2) After installation and before use, and annually thereafter, the 
cabinets will be tested in accordance with NSF Standard No. 49 (latest 
revision June 1987) as follows:
    (i) Primary (required) tests--
    (A) Velocity profile test.
    (B) Work access opening airflow (face velocity) test.
    (C) HEPA filter leak test.
    (D) Cabinet integrity test (soap bubble test) for cabinets with 
positive pressure internal plenums.
    (ii) Secondary (optional) tests--
    (A) Vibration test.
    (B) Electrical leakage and ground circuit resistance tests.
    (C) Noise level test.
    (D) Lighting intensity test.
    (E) UV light intensity test.
    (3) After repairs or alterations to the cabinetry or ventilation 
system that affect the cabinet, the tests listed in Sec. 627.51(a)(2) 
will be performed for the relevant parameters.
    (4) The work access opening airflow (face velocity) test, as 
specified in NSF Standard No. 49 (latest revision, June 1987), will be 
performed to check that the cabinet is within specifications on an 
annual basis for BL-1 and BL-2 and toxin use. This test will be 
performed semiannually on cabinets used for BL-

[[Page 594]]

3 and BL-4 as well as for work with dry forms of toxins.
    (5) When the exhaust is recirculated in a BL-4 facility, the cabinet 
must be tested and certified semiannually.
    (b) Class IIA biological safety cabinets--(1) Description. A Class 
IIA biological safety cabinet is one in which typically 70 percent of 
the air is recirculated within the cabinet and the exhaust passes 
through a HEPA filter before discharge. The exhaust may be exhausted 
into the room and positive-pressure contaminated ducts and plenums 
within the cabinet are allowed. Type A cabinets shall have a minimum 
calculated face velocity of 75 feet per minute (fmp).
    (2) Uses. These cabinets are for working with low-to-moderate risk 
biological samples and for protecting personnel against biological 
material while providing a sterile atmosphere in which to handle the 
material.
    (3) Prohibitions. Materials that are toxic or volatile must not be 
used in these cabinets.
    (c) Class IIB1 biological safety cabinets--(1) 
Description A Class IIB1 biological safety cabinet is one 
that maintains a minimum average inflow of air of 100 plus or minus 20 
lfpm and in which typically 30 percent of the air is recirculated. All 
recirculated and exhausted air passes through two HEPA filters in 
series. All contaminated internal ducts and plenums are under negative 
pressure. Type B cabinets shall have a minimum calculated face velocity 
of 100 fpm.
    (2) Uses. When ultra-sterility is needed, these are the cabinets of 
choice. The double filtration achieves a cleaner atmosphere. Minute 
quantities of volatile, toxic, or volatile radioactive materials 
coincidental to use in biological systems may also be used in these 
cabinets.
    (3) Prohibitions. More than minute quantities of toxic, volatile, or 
radioactive materials must not be used in these cabinets.
    (4) Additional certifications or requirements. None.
    (d) Class IIB2 biological safety cabinets--(1) 
Description. A Class IIB2 biological safety cabinet is one 
that maintains a minimum average of 100 plus or minus 20 lfpm inward 
flow and in which all air is exhausted directly from the cabinet through 
a HEPA filter without recirculation within the cabinet. All contaminated 
ducts and plenums are under negative pressure. Type B cabinets shall 
have a minimum calculated face velocity of 100 fpm.
    (2) Uses. These cabinets are recommended when small quantities of 
volatile, flammable, or toxic chemicals must be used coincidentally with 
items requiring sterility.
    (3) Prohibitions. While these cabinets do offer the greatest degree 
of safety for volatile, toxic, and flammable chemical handling in a 
sterile environment, they are not to be used in place of a fume hood to 
prepare stock solutions of hazardous chemicals.
    (e) Class IIB3 biological safety cabinets--(1) 
Description. A Class IIB3 biological safety cabinet is one 
that meets all of the requirements of a Class IIB2 biological 
safety cabinet except that it recirculates most (typically 70 percent) 
of the air inside the cabinet. Type B cabinets shall have a minimum 
calculated face velocity of 100 fpm.
    (2) Uses. Minute amounts of nonflammable chemicals can be used 
coincidentally with low-to-moderate risk biological agents.
    (3) Prohibitions. Flammable materials and more than minute amounts 
of toxic, radioactive, or volatile chemicals must not be used in these 
cabinets.
    (4) Additional certifications or requirements. None.



Sec. 627.52  Class III biological safety cabinet.

    (a) Description. These cabinets (figure H-III in appendix F to this 
part) are totally enclosed, ventilated cabinets of gas-tight 
construction. Operations are conducted through attached rubber gloves. 
The supply of air is drawn into the cabinet through HEPA filters. The 
exhaust air is treated by double HEPA filtration, or by HEPA filtration 
followed by incineration, and is not allowed to recirculate within the 
room.
    (b) Uses. These cabinets provide the ultimate protection for 
personnel. They are suitable for low, moderate, and high-risk etiologic 
agents.
    (c) Prohibitions. More than minute amounts of flammables must not be 
used in these cabinets.

[[Page 595]]

    (d) Certifications and requirements. (1) These cabinets will have a 
manometer or magnehelic gauge that indicates the negative pressure that 
is maintained inside the cabinet. The pressure inside the cabinet should 
be a minimum of 0.5 inches water gauge negative to the surrounding room.
    (2) These cabinets will be pressure tested by the soap bubble or 
halogen leak test as prescribed in NSF Standard No. 49, appendix B1 
(latest revision, June 1987), and certified, when the HEPA filter units 
are serviced.



Sec. 627.53  Fume hood.

    Fume hoods in which etiologic agents are handled must use proven 
technologies to provide optimal containment. Fume hood placement, 
design, and capture testing requirements for use in designing new 
laboratories can be found in the latest edition of Industrial 
Ventilation, A Manual of Recommended Practices, published by the 
American Conference of Governmental Industrial Hygienists.
    (a) Description. Fume hoods are common chemical laboratory 
furnishings designed to capture fumes from chemicals that are used 
within them. Air is drawn through the opening and vented to the exterior 
without recirculation.
    (b) Uses. Fume hoods provide excellent containment for handling 
hazardous chemicals.
    (c) Prohibitions. Moderate risk biologicals and open containers of 
dry forms of toxins must not be used in a fume hood without HEPA 
filtration. Fume hoods should never be used when sterility is required.
    (d) Certification and requirements. (1) Inward air flow will be an 
average of 100 plus or minus 20 lfpm as measured at the face of the fume 
hood. Proper function of laboratory hoods is not only a function of face 
velocity. An evaluation of the total operating environment is necessary.
    (2) When filters are required, they will be certified by the mineral 
oil droplet (HEPA) or Freon (Charcoal) leak test as appropriate. Leakage 
through the filters will be less than 0.05 percent for Freon and 0.03 
percent for oil droplets when initially installed.
    (3) Fume hoods will be provided with indicator devices to give a 
warning should the ventilation system fail or if the hood face velocity 
falls below an average of 80 lfpm
    (4) Hood air flow will be certified when installed, when maintenance 
is performed on the ventilation system, and semiannually thereafter.



Sec. 627.54  Glove box.

    (a) Description. A glove box is an enclosure that provides a 
positive barrier from liquids, solids, and chemical vapors. A glove box 
has viewing ports and glove ports for access. The box maintains 
personnel protection through solid barriers and maintenance of a 
negative pressure relative to its surroundings.
    (b) Uses. Glove boxes are used when extreme containment is needed 
for highly toxic chemicals, especially for dry chemicals that can be 
swept out of containers by the airflow in hoods.
    (c) Prohibitions. Unventilated boxes must not be used with volatile 
flammable materials and should be used with volatile toxic materials 
unless dilution ventilation is provided.
    (d) Additional certifications and requirements. (1) The glove box 
will be maintained at a pressure of at least 0.25 inches water guage 
less than its surroundings.
    (2) The pressure differential will be indicated by a manometer or 
magnehelic guage. Indicator devices will display a loss of pressure 
below 0.25 inches water guage.
    (3) Gloves will be changed at appropriate intervals (dependent on 
the box contents) to ensure they provide the protection needed.
    (4) Inlets that provide dilution air will be protected by HEPA 
filters.



Sec. 627.55  Ventilated balance enclosures.

    (a) Description. A ventilated balance enclosure is a box that 
surrounds a balance and has a small open area for access and handling 
material in the front. Air is exhausted out the rear of the enclosure.
    (b) Uses. A ventilated balance enclosure is used when containment of 
a balance is required to weigh hazardous materials that have a low vapor 
pressure (such as toxins). These enclosures are also used when it is 
best to use the balance in other than a fume hood (due

[[Page 596]]

to the turbulence and vibration) and when biological safety cabinets or 
glove boxes are inappropriate or unavailable. Dry forms of toxins may be 
weighed in these enclosures.
    (c) Prohibitions. Very volatile or highly toxic volatile materials 
must not be handled in ventilated balance enclosures unless they are 
placed in closed containers in a properly functioning fume hood before 
being transferred to the balance enclosure.
    (d) Additional certifications or requirements. (1) The flow through 
the openings in the enclosure will be at least 60 lfpm and must average 
between 60 and 80 lfpm.
    (2) Containment will be certified prior to first use and annually 
thereafter by smoke tubes.
    (3) The air flow will be certified initially and semiannually by 
averaging readings taken from the face of the opening.



Sec. 627.56  Ventilated cage enclosures.

    There are a number of cage-ventilated enclosures in which infected 
animals may be housed at levels corresponding to the various classes of 
biological safety cabinets. A brief description of four different types 
of animal ventilated cages is given below. This is not a complete 
description of all the different animal ventilated cages available. The 
proper functioning of these will be tested initially, upon each 
connection to exhaust sources, and at least annually. The inward flow 
rates on the partial containment systems and pressure checks on the 
total containment cages will be performed. Prior to selecting such 
equipment, an evaluation of the function and the equipment should be 
made, and the methods for testing and decontamination should be analyzed 
and documented.
    (a) Filter-top cages. Small laboratory animal polystyrene or 
polycarbonate cage bottoms are fitted with a dome shaped glass fiber or 
polyester filter cage cover. The dome shaped filters help reduce the 
dissemination of aerosols, and the spread of infectious agents. Adequate 
ventilation around cages fitted with a dome shaped filter is essential 
since they may contain elevated ammonia and carbon dioxide levels, and 
high temperature and humidity. Ventilation recommendations in the NIH 
publication 86-23, 1985 ``Guide for the Care and Use of Laboratory 
Animals'' will be followed.
    (b) Forced ventilation cages. This is a small HEPA-filtered cage 
connected to a centralized exhaust system. A minimum airflow of 0.03 
m\3\ /min per cage is required. Ventilation rates may vary with the size 
of the cage, and the number and type of animals being housed.
    (c) Cubicle-type isolation cage. This is a partial containment unit 
which holds several animal cages. This unit is a negative pressure HEPA-
filtered stainless steel cage. A minimum airflow of 0.3 m\3\ /min per 
cage is required for a 0.24 m\3\ unit. Ventilation rates may vary with 
the size of the cage and the number and type of animals being housed.
    (d) Total containment cage. This unit is a negative pressure or 
positive pressure HEPA-filtered stainless steel cage which has the 
filters incorporated into the design. It is halogen gas-leak tight and 
can be considered a Class III biological safety cabinet. A minimum 
airflow of 0.3 m\3\ /min per cage is required for a 0.24 m\3\ unit. 
Ventilation rates may vary with the size of the cage, and the number and 
type of animals being housed.



Sec. 627.57  Ventilated cage areas.

    Ventilated cage areas within a room that are solid-walled and 
bottomed areas for containing multiple cages housing infected animals. 
The containment for these areas is equivalent to the Class I biological 
safety cabinet. For testing purposes, they will be treated the same as a 
Class I biological safety cabinet.

                   Appendix A to Part 627--References

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

                          Required Publications

                                AR 11-34

    Army Respiratory Protection Program. (Cited in Sec. Sec. 
627.31(h)(2) and 627.31(h)(4).)

[[Page 597]]

                                 AR 40-5

    Preventive Medicine. (Cited in Sec. 627.8.)

                                AR 40-10

    Health Hazard Assessment Program in Support of the Army Materiel 
Acquisition Decision Process. (Cited in Sec. 627.7(a)(8).)

                                AR 40-12

    Medical and Agricultural Foreign and Domestic Quarantine Regulations 
for Vessels, Aircraft, and Other Transports of the Armed Forces. (Cited 
in Sec. 627.40(a).)

                                AR 40-66

    Medical Records and Quality Assurance Administration. (Cited in 
Sec. 627.9.)

                                AR 40-400

    Patient Administration. (Cited in Sec. 627.8(e).)

                                AR 70-65

    Management of Controlled Substances, Ethyl Alcohol, and Hazardous 
Biological Substances in Army Research, Development, Test, and 
Evaluation Facilities. (Cited in Sec. Sec. 627.36(a)(6) and 627.40(b).)

                                AR 385-10

    Army Safety Program. (Cited in Sec. Sec. 627.6 and 627.31(h)(4).)

                                AR 385-69

    Biological Defense Safety Program. (Cited in Sec. Sec. 627.6, 
627.7(a), 627.7(a)(8), 627.7(d), 627.11(c), 627.18(a) and 627.18(f)(1).)

                                AR 740-32

    Responsibilities for Technical Escort of Dangerous Materials. (Cited 
in Sec. 627.39.)

                          Related Publications

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

                                AR 40-14

    Control and Recording Procedures for Exposure to Ionizing Radiation 
and Radioactive Materials.

                             ANSI Z86.1-1973

    Breathing Air

                           ASHRAE Standard 62

    Bacterial Toxins: A Table of Lethal Amounts, Gill, D.M., 
Microbiological Reviews, Volume 46, Number 1; March 1982, pages 86-94.

                       Biohazards Reference Manual

    American Industrial Hygiene Association, 1985, Clinical Medicine 
Branch, Division of Host Factors, Center for Infectious Disease, Centers 
for Disease Control, Atlanta, GA 30333, telephone: (404) 639-3356, 
Compressed Gas Association Pamphlet G-7.1

                          Grade D Breathing Air

    Dangerous Goods Regulations, International Air Transport Association 
(IATA), Publications Section, 2000 Peel Street, Montreal, Quebec, Canada 
H3A 2R4, Tel (514) 844-6311. DHEW Pub. No. (NIH) 76-1165
    Biological Safety Manual for Research Involving Oncogenic Viruses, 
Executive Order 12196
    Safety and Health Programs for Federal Employees, 26 February 1980
    Guide for Adult Immunizations, Published by the American College of 
Physicians, Guide for Transportation of Hazardous Materials, Vol. 4(1) 
February 10, 1975. (Copies may be obtained from the Office of Research 
Grants Inquiries, NIH, Department of Health and Human Services, 5333 
Westbard Avenue, Bethesda, MD 20205.)
    Guidelines for Laboratory Design, Health and Safety Considerations, 
L. DiBerardinis, et al., John Wiley and Sons, 1987
    Guidelines for Prevention of Herpesvirus Simiae (B Virus) Infection 
in Monkey Handlers, Kaplan, J.E., et al., Mortality and Morbidity Weekly 
Report, Volume 36, Number 41; October 23, 1987, pages 680-689.
    HHS Publication No. (NIH) 88-8395, Biosafety in Microbiological and 
Biomedical Laboratories
    Industrial Ventilation, A Manual of Recommended Practice Published 
by the American Conference of Governmental Industrial Hygienists.
    Laboratory Safety for Arboviruses and Certain Other Viruses of 
Vertebrates, The American Journal of Tropical Medicine and Hygiene, 
29:1359-1381, 1980.
    NIH Guidelines for Research involving Recombinant DNA Molecules (51 
FR 16958, May 7, 1986).
    NIH publication 86-23, Guide for the Care and Use of Laboratory 
Animals
    NSF Standard 49, National Sanitation Foundation Standard 
Number 49, Class II (Laminar Flow) Biohazard Cabinetry
    Packaging and Shipping of Biological Materials at ATCC, The American 
Type Culture Collection (ATCC). (Copies may be obtained from the ATCC, 
12301 Parklawn Drive, Rockville, MD 20852. Telephone (301) 881-2600.)
    Postal Bulletin No. 21246, International Mail-Hazardous Materials
    Procedures for the Domestic Handling and Transport of Diagnostic 
Specimens and Etiologic Agents, National Committee for Clinical 
Laboratory Standards (NCCLS), (H5-A2), Second edition. Vol. 5, No. 1. 
(Copies may be

[[Page 598]]

obtained from the NCCLS, 771 East Lancaster Avenue, Villanova, PA 
19085.)
    Restricted Articles Tariff 6-D, Air Transport Association
    Technical Instructions for the Safe Transport of Dangerous Goods by 
Air, International Civil Aviation Organization (ICAO) Intereg Group, 
5724 Pulaski Road, Chicago, IL 60646, Tel. (312) 478-0900.
    The Centers for Disease Control, Office of Biosafety, 1600 Clifton 
Road NE., Atlanta, Georgia 30333. Telephone (404) 639-3883, or FTS: 236-
3883.

                    9 CFR Parts 102 Through 104, 122

    Animals and Animal products.

                            10 CFR Chapter 1

    Nuclear Regulatory Commission.

                    21 CFR Parts 312, 600 Through 680

    Food and drugs.

                            29 CFR Part 1910

    Occupational Health and Safety Administration Safety and Health 
Standards.

                             39 CFR Part 111

    Postal Service.

                     40 CFR Parts 1500 Through 1508

    Protection of environment.

                         42 CFR Parts 71 and 72

    Public Health Service Foreign Quarantine Regulations.

                        49 CFR Parts 172 and 173

    The Department of Transportation.

Appendix B to Part 627--Resource List for Immunoprophylaxis of Personnel 
                                 at Risk

                         B-1. Recommendations for Immunoprophylaxis of Personnel at Risk
----------------------------------------------------------------------------------------------------------------
      Description of disease              Product              Recommended for use in         Source of product
----------------------------------------------------------------------------------------------------------------
Anthrax..........................  Inactivated vaccine.  Personnel working regularly with    USAMRIID.\1\
                                                          cultures, diagnostic materials,
                                                          or infected animals.
Botulism.........................  Pentavalent toxoid    Personnel working regularly with    CDC.\3\
                                    (A,B,C,D,E)           cultures or toxin.
                                    (IND).\2\.
Cholera..........................  Inactivated vaccine.  Personnel working regularly with    Commercially
                                                          large volumes or high               available.
                                                          concentrations of infectious
                                                          materials.
Diphtheria Tetanus (Adult).......  Combined toxoid.....  All laboratory and animal care      Commercially
                                                          personnel irrespective of agents    available.
                                                          handled.
Eastern equine encephalitis (EEE)  Inactivated vaccine   Personnel who work directly and     USAMRIID.\1\
                                    (IND) \2\.            regularly with EEE in the
                                                          laboratory.
Hepatitis A......................  Immune Serum          Animal care personnel working       Commercially
                                    Globulin [ISG         directly with chimpanzees           available.
                                    (Human)].             naturally or experimentally
                                                          infected with Hepatitis A virus.
Hepatitis B......................  Serum-derived or      Personnel working regularly with    Commercially
                                    recombinant vaccine.  human blood and blood components.   available.
Influenza........................  Inactivated vaccine.  (Vaccines prepared from earlier     Commercially
                                                          isolated strains may be of little   available.
                                                          value in personnel working with
                                                          recent isolates from humans or
                                                          animals).
Japanese Encephalitis............  Inactivated vaccine   Personnel who work directly and     CDC.\3\
                                    (IND) \2\.            regularly with JE virus in the
                                                          laboratory.
Measles..........................  Live attenuated       Measles-susceptible personnel       Commercially
                                    virus vaccine.        working with the agent or           available.
                                                          potentially infectious clinical
                                                          materials.
Meningococcal Meningitis.........  Purified              Personnel working regularly with    Commercially
                                    polysaccharide        large volumes or high               available.
                                    vaccine.              concentrations of infectious
                                                          materials (does not protect
                                                          against infection with group B
                                                          meningococcus).
Plague...........................  Inactivated vaccine.  Personnel working regularly with    Commercially
                                                          cultures of Yersinia pestis or      available.
                                                          infected rodents or fleas.
Poliomyelitis....................  Inactivated (IPV)     Polio-susceptible personnel         Commercially
                                    and live attenuated   working with the virus or           available.
                                    (OPV) vaccines.       entering laboratories or animal
                                                          rooms where the virus is in use.
Pox viruses (Vaccinia, Cowpox, or  Live (lyophilized)    Personnel working with orthopox     CDC.\3\
 Monkey Pox viruses).               vaccinia virus.       viruses transmissible to humans,
                                                          with animals infected with these
                                                          agents, and persons entering
                                                          areas where these viruses are in
                                                          use.
Q Fever (Phase II) vaccine.......  Inactivated (IND)     Personnel who have no demonstrable  USAMRIID.\1\
                                    \2\.                  sensitivity to Q fever antigen
                                                          and who are at high risk of
                                                          exposure to infectious materials
                                                          or animals.

[[Page 599]]

 
Rabies...........................  Human diploid line    Personnel working with all strains  Commercially
                                    cell inactivated      of rabies virus, with infected      available.
                                    vaccine.              animals, or persons entering
                                                          areas where these activities are
                                                          conducted.
Rift Valley Fever................  Inactivated virus     All laboratory and animal care      USAMRIID.\1\
                                    vaccine (IND) \2\.    personnel working with the agent
                                                          or infected animals and all
                                                          personnel entering laboratories
                                                          or animal rooms when the agent is
                                                          in use.
Rubella..........................  Live attenuated       Rubella-susceptible personnel,      Commercially
                                    virus vaccine.        especially women, working with      available.
                                                          ``wild'' strains or in areas
                                                          where these viruses are in use.
Tuberculosis.....................  Live, attenuated      BCG vaccine ordinarily is not used  Commercially
                                    (BCG) bacterial       in laboratory personnel in the      available.
                                    vaccine.              U.S.
Tularemia........................  Live attenuated       Personnel working regularly with    USAMRIID.\1\
                                    bacterial vaccine     cultures or infected animals or
                                    (IND).\2\.            persons entering areas where the
                                                          agent of infected animals are in
                                                          use.
Typhoid..........................  Inactivated vaccine.  Personnel who have no demonstrated  Commercially
                                                          sensitivity to the vaccine and      available.
                                                          who work regularly with cultures.
Venezuelan equine (VEE)            Live attenuated       Personnel working with VEE and the  USAMRIID.\1\
 encephalitis.                      (TC83) viral          Equine Cabassou, Everglades,
                                    vaccine (IND).\2\.    Mucambo, and Tonate viruses, or
                                                          who enter areas where these
                                                          viruses are in use.
Western equine encephalitis (WEE)  Inactivated vaccine   Personnel who work directly and     USAMRIID.\1\
                                    (IND) \2\ with WEE    regularly in the laboratory.
                                    virus.
Yellow Fever.....................  Live attenuated       Personnel working with virulent     Commercially
                                    (17D) virus vaccine.  and avirulent strains of Yellow     available.
                                                          Fever virus.
----------------------------------------------------------------------------------------------------------------
\1\ For information, contact: United States Army Medical Materiel Development Activity, Fort Detrick, Frederick,
  MD 21701, telephone: (301) 663-7661.
\2\ Investigational New Drug (IND).
\3\ Clinical Medicine Branch, Division of Host Factors, Center for Infectious Disease, Centers for Disease
  Control, Atlanta, GA 30333, telephone: (404) 639-3356.
 
Source: Adapted from recommendations of the PHS Immunization Practices Advisory Committee and Biosafety in
  Microbiological and Biomedical Laboratories.

     Appendix C to Part 627--Laboratory Safety Inspection Checklist

    C-1. The checklist that follows is not an exhaustive list of the 
items to consider when inspecting facilities where etiologic agents are 
used. It does provide some basic guidelines to remind safety and 
nonsafety professionals of the things that need to be considered in the 
laboratories they manage. The checklist should be used as follows: All 
area should be inspected using the general list in C-2. Certain items 
are optional, such as radiation safety. If no radioactive material is 
present in the room, then this would not be applicable. For BL-1 
facilities the list in C-2 is adequate, while BL-2, BL-3, and BL-4 
facilities must use the list in C-2 together with the appropriate list 
in C-3 to C-5.

                          C-2. Basic checklist

    (a) Housekeeping
    (1) Is the room free of clutter?
    (2) Are all aisles from the work areas to the available exits 
maintained clear of obstructions?
    (3) Are all safety equipment items unobstructed and ready for use?
    (4) Is the room clean?
    (b) Fire safety
    (1) Is the fire extinguisher hung in its proper place, ready for 
use, and unobstructed?
    (2) Are there excess flammables located outside National Fire 
Protection Association (NFPA) approved cabinetry?
    (3) Are all Class IA flammables that are in breakable containers in 
pint or smaller containers?
    (4) Are all Class IB flammables that are in breakable containers in 
liter or smaller containers?
    (c) Chemical safety
    (1) Are the chemicals stored with compatible materials?
    (2) Have the chemical fume hoods been certified in the last 6 
months?
    (3) Are the eyewash and deluge shower unobstructed and ready for 
use?
    (4) Is the eyewash and deluge shower tested regularly to document 
proper operation?
    (5) Is the organic waste container maintained in a closed position?
    (6) Are all reagents and solutions properly labeled?
    (7) Is a spill kit within a reasonable distance from the work areas?
    (8) Is appropriate protective clothing available for the chemical 
hazards present?
    (9) Is there a written hazard communication program?

[[Page 600]]

    (10) Have the personnel in the laboratory been trained in the 
provisions and principles of the hazard communication program?
    (11) Are MSDSs located where they are available to the laboratory 
workers?
    (12) Is there a written chemical hygiene plan?
    (d) Radiation safety
    (1) Are the radioactive materials stored double-contained?
    (2) Is the containment for the radiation waste container adequate to 
preclude the spread of radiation?
    (3) Are all containers appropriately labeled with radiation labels?
    (4) Are all entrances to the room appropriately labeled?
    (e) Electrical safety
    (1) Are excess extension cords being utilized?
    (2) Are there any frayed cords in the room?
    (3) Are there any cords on the floor across normal traffic patterns 
in the room?
    (f) General laboratory safety
    (1) Are sharps discarded and destroyed in a safe manner?
    (2) Are work surfaces decontaminated daily and after a spill?
    (3) Is the appropriate attire worn by everyone in the room?
    (4) Is there evidence that personnel eat, drink, smoke, or store 
food, drinks, or tobacco in the room?
    (5) Was mouth pipetting observed?
    (6) Are all gas cylinders secured and are all cylinders not in use 
capped?
    (7) Are cylinders of oxidizers stored at least 20 feet from 
cylinders of flammable gases in the same room?
    (8) Are the contents of the cylinders clearly labeled?
    (9) Are the cylinders transported on appropriate dollies or hand 
trucks?
    (10) Is there a written respiratory protection program where 
respirators are used?
    (g) Etiologic agents
    (1) Are all containers of etiologic agents appropriately labeled?
    (i) Are freezers, refrigerators, and similar storage units labeled 
with the biohazard warning sign?
    (ii) Are the storage and shipping containers adequate and properly 
labeled?
    (2) Have all personnel been adequately trained in general 
microbiological techniques?
    (3) Are laboratory doors kept closed when experiments are in 
progress?
    (4) Are all operations conducted over plastic-backed absorbent paper 
or spill trays?

              C-3. Biosafety level 2 supplemental checklist

    (a) Are all floor drains filled with water or suitable disinfectant?
    (b) Is the SOP for an etiologic agent spill signed by all personnel 
who work with etiologic agents in the room?
    (c) If biological safety cabinets are used, have they been certified 
within the last year?
    (d) Are the appropriate decontaminants available?
    (e) Are all entrances to the laboratory posted with--
    (1) The appropriate special provisions for entry?
    (2) The universal biohazard symbol?
    (3) The name and telephone number of the laboratory director or 
other responsible person?
    (f) Is entry limited and restricted?
    (g) Are gloves being worn when handling infected animals or 
infectious or toxic materials?
    (h) Is eye and respiratory protection being worn in rooms where 
nonhuman primates are present?
    (i) If materials are being transported off-site for decontamination, 
is the containment adequate?

              C-4. Biosafety level 3 supplemental checklist

    (a) Is laboratory clothing decontaminated before being sent to the 
laundry?
    (b) Are all windows and penetrations through the walls and ceilings 
sealed?
    (c) If biological safety cabinets are used, have they been certified 
within the last year?
    (d) Are the appropriate decontaminants available?
    (e) Are all entrances to the facility posted with--
    (1) The appropriate special provisions for entry?
    (2) The universal biohazard symbol?
    (3) The name and telephone number of the laboratory director or 
other responsible person?
    (f) Is entry limited and restricted?
    (g) Are gloves being worn when handling infected animals or 
infectious or toxic materials?
    (h) Is eye and respiratory protection being worn in rooms where 
nonhuman primates are present?
    (i) Do the monitors indicate that the room is under negative 
pressure relative to all entrances?
    (j) Are all vacuum lines protected with HEPA filters and liquid 
disinfectant traps?
    (k) Is the autoclave being properly maintained and certified?
    (l) Is the foot, elbow, or automatic handwash sink operating 
properly?
    (m) Are all operations with etiologic agents being conducted inside 
biological safety cabinets or other approved engineering controls?
    (n) Are all infected animals housed using appropriate primary 
containment systems?
    (o) Do all personnel who enter rooms housing infected animals wear 
appropriate respiratory protection?

[[Page 601]]

    (p) Do personnel who exit rooms having infected animals leave their 
protective clothing in the animal and laboratory rooms?
    (q) If available, has the UV pass box ouput been certified within 
the last 3 months?

        C-5. Biosafety level 4 supplemental inspection checklist

    (a) Precautions for all areas.
    (1) Are all penetrations through the walls and ceilings sealed?
    (2) Are the appropriate decontaminants available and used properly?
    (3) Are all entrances to the facility posted with--
    (i) The appropriate special provisions for entry?
    (ii) The universal biohazard symbol?
    (iii) The name and telephone number of the laboratory director or 
other responsible person?
    (4) Is access to the laboratory controlled strictly and documented?
    (5) Do the monitors indicate that the room is under negative 
pressure relative to all entrances?
    (6) Are all vacuum lines protected with HEPA filters and liquid 
disinfectant traps?
    (7) Is the autoclave being properly maintained and certified?
    (8) Is the foot, elbow, or automatic handwash sink operating 
properly?
    (9) Do the self-closing doors to the facility operate properly?
    (10) Do personnel completely exchange street clothing for laboratory 
clothing before entry and shower upon exiting?
    (11) Is the dunk tank disinfectant fresh and appropriate for the 
agents in use?
    (b) Suit areas.
    (1) Are all operations with etiologic agents conducted in Class I or 
II biological safety cabinets?
    (2) Do the procedures in place ensure that, as much as possible, the 
contamination remains inside the cabinets (such as ensuring that 
everything removed from within the cabinets, such as gloves being worn, 
instruments, glassware, or similar items, are decontaminated or properly 
packaged first)?
    (3) Are the Class I or II cabinets in the facility certified every 6 
months?
    (4) Does the suit decontamination shower have adequate appropriate 
decontaminant available?
    (5) Has the suit decontamination shower been used or tested in the 
last month?
    (6) Is the ventilated suit air supply and emergency air supply 
adequate and working properly?
    (7) Is the emergency alarm system working properly?
    (8) Are all of the one-piece positive pressure suits available for 
use in serviceable condition?
    (9) Are infected animals housed in appropriate primary containment 
systems?
    (10) Is the static pressure in the suit area negative to all 
surrounding areas?
    (c) Nonsuit areas.
    (1) Are all operations with etiologic agents conducted inside Class 
III biological safety cabinets?
    (2) Were the Class III biological safety cabinets certified before 
initiating the current operation?
    (3) Are all infected animals housed in Class III cabinet containment 
caging systems?

Appendix D to Part 627--Packaging and Labeling Requirements for Shipment 
                           of Etiologic Agents

D-1. Packaging and Labeling of Etiologic Agents, from HHS publication 
No. (NIH) 88-8395.
D-2. Guidelines for the Air Shipment of Diagnostic Specimens, from the 
Air Transport Association of America, Cargo Services Division, 1709 New 
York Ave., NW., Washington, DC 20006.

    Appendix E to Part 627--Permits for Importation and Shipment of 
                            Etiologic Agents

E-1. Permit Application to Import or Transport Agents or Vectors of 
Human Disease. Department of Health, Education and Welfare, PHS, CDC, 
Office of Biosafety, Atlanta, Georgia 30333.
E-2. Permit Application to Import Controlled Material; Import or 
Transport Organisms or Vectors. U.S. Department of Agriculture, Animal 
and Plant Health Inspection Service, Veterinary Services, Federal 
Building, Hyattsville, Maryland 20782.

[[Page 602]]

      Appendix F to Part 627--Drawings, Biological Safety Cabinets
[GRAPHIC] [TIFF OMITTED] TC24OC91.027


[[Page 603]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.028


[[Page 604]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.029

                    Appendix G to Part 627--Glossary

                              Abbreviations
AIHA                    American Industrial Hygiene Association
AMC                     United States Army Materiel Command
ANSI                    American National Standards Institute
AR                      Army Regulation
ATCC                    American Type Culture Collection
ASHRAE                  American Society of Heating, Refrigerating, and
                         Air Condition Engineers, Inc.
BDP                     Biological Defense Program
BL                      biosafety level
CDC                     Centers for Disease Control
CFR                     Code of Federal Regulations
DA PAM                  Department of Army Pamphlet
DHEW                    Department of Health, Education, and Welfare
DOD                     Department of Defense
DOT                     Department of Transportation
DNA                     deoxyribonucleic acid
EPA                     Environmental Protection Agency
EtO                     ethylene oxide
FDA                     Food and Drug Administration
fpm                     feet per minute
HEPA                    high efficiency particulate air

[[Page 605]]

 
HHS                     Health and Human Services
IATA                    International Air Transport Association
IBC                     Institutional Biosafety Committee
ICAO                    International Civil Aviation Organization
lfpm                    linear feet per minute
LS                      large-scale
m                       meter
min                     minute
MSDS                    Material Safety Data Sheets
MSHA                    Mine Safety and Health Administration
NCCLS                   National Committee for Clinical Laboratory
                         Standards
NCI                     National Cancer Institute
NEPA                    National Environmental Policy Act
NFPA                    National Fire Protection Association
NIH                     National Institutes of Health
NIOSH                   National Institute for Occupational Safety and
                         Health
NRC                     Nuclear Regulatory Commission
NSF                     National Sanitation Foundation
OSHA                    Occupational Safety and Health Administration
pH                      the negative logarithm of hydrogen ion
                         concentration
PHS                     Public Health Service
PPE                     personal protective equipment
ppm                     parts per million
psi                     pounds per square inch
RCRA-Listed             Resource Conservation Recovery Act of 1976
                         Listed Hazardous Waste
RDTE                    research, development, test, and evaluation
RPO                     Radiation Protection Officer
SALS                    Subcommittee on Arbovirus Laboratory Safety
SAR                     supplied-air respirator
SCBA                    self-contained breathing apparatus
SOP                     Standing Operating Procedure
TD                      to deliver
TLV                     threshold limit value
USDA                    United States Department of Agriculture
UV                      ultraviolet
 

                                  Terms

                     Approved respiratory protection

    Equipment which is tested and listed as satisfactory according to 
standards established by a competent authority (such as NIOSH, Mine 
Safety and Health Administration (MSHA), or host country agency) to 
provide respiratory protection against the particular hazard for which 
it is designed. For military agent protection, DA and Department of 
Defense (DOD) are the approval authorities. (Approval authority may be 
specified by law.)

                           Biocontainment area

    An area which meets the requirements for a BL-3 or BL-4 facility.
The area may be an entire building or a single room within a building. 
See subpart G for details.

                       Biological Safety Cabinets

    Engineering controls designed to enable laboratory workers to handle 
infectious etiologic agents and to provide primary containment of any 
resultant aerosol. There are three major classes of cabinets (I, II, and 
III) and several subclasses of class II cabinets. Each type of cabinet 
provides a different degree of protection to personnel and to the 
products handled inside them. The various classes of cabinets are 
described in detail in subpart H.

                            Biosafety Level 1

    The facilities, equipment, and procedures suitable for work 
involving agents of no known or of minimal potential hazard to 
laboratory personnel and the environment.

                            Biosafety Level 2

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, or teaching laboratories, and suitable for work involving 
indigenous agents of moderate potential hazard to personnel and the 
environment. It differs from BL-1 in that (1) laboratory personnel have 
specific training in handling pathogenic agents, (2) the laboratory is 
directed by scientists with experience in the handling of specific 
agents, (3) access to the laboratory is limited when work is being 
conducted, and (4) certain procedures in which infectious aerosols could 
be created are conducted in biological safety cabinets or other physical 
containment equipment.

                            Biosafety Level 3

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, research, or production facilities in which work is 
performed with indigenous or exotic agents where potential exists for 
infection by aerosol, and the disease may have serious or lethal 
consequences. It differs from BL-2 in that (1) more extensive training 
in handling pathogenic and potentially lethal agents is necessary for 
laboratory personnel; (2) all procedures involving the manipulation of 
infectious material are conducted within biological safety cabinets, 
other physical containment devices, or by personnel wearing appropriate 
personal protective clothing and devices; (3) the laboratory has special 
engineering and design features, including access zones, sealed 
penetrations, and directional airflow; and (4) any modification of BL-3 
recommendations must be made only by the commander.

                            Biosafety Level 4

    The facilities, equipment, and procedures required for work with 
dangerous and exotic agents which pose a high individual risk of life-
threatening disease. It differs from BL-3 in that (1) members of the 
laboratory staff have specific and thorough training in handling 
extremely hazardous infectious agents; (2) laboratory personnel 
understand the primary and secondary containment functions of the 
standard and special practices, containment equipment, and laboratory 
design characteristics; (3) access to the laboratory is strictly 
controlled by the institute director; (4) the facility is either in a 
separate

[[Page 606]]

building or in a controlled area within a building, completely isolated 
from all other areas of the building; (5) a specific facility operations 
manual is prepared or adopted; (6) within work areas of the facility, 
all activities are confined to Class III biological safety cabinets or 
Class I or Class II biological safety cabinets used in conjunction with 
one-piece positive pressure personnel suits ventilated by a life support 
system; and (7) the maximum containment laboratory has special 
engineering and design features to prevent microorganisms from being 
disseminated to the environment.

                                Building

    A structure that contains the requisite components necessary to 
support a facility that is designed according to the required biosafety 
level. The building can contain one or more facilities conforming to one 
or more biosafety level.

                           Confirmed Exposure

    Any mishap with a BDP agent in which there was direct evidence of an 
actual exposure such as a measurable rise in antibody titer to the agent 
or a confirmed diagnosis of intoxication or disease.

                            Etiologic Agents

    Any viable microorganism, or its toxin which causes or may cause 
human disease, including those agents listed in 42 CFR 72.3 of the 
Department of Health and Human Services regulations, and any agent of 
biological origin that poses a degree of hazard similar to those agents.

                                Facility

    An area within a building that provides appropriate protective 
barriers for persons working in the facility and the environment 
external to the facility, and outside of the building.

                               HEPA Filter

    A filter which removes particulate matter down to submicron sized 
particles from the air passed through it with a minimum efficiency of 
99.97 percent. While the filters remove particulate matter with great 
efficiency, vapors and gases (for example, from volatile chemicals) are 
passed through without restriction. HEPA filters are used as the primary 
means of removing infectious agents from air exhausted from engineering 
controls and facilities.

                            Human Lethal Dose

    The estimated quantity of a toxin that is a minimum lethal dose for 
a 70 kilogram individual based upon published data or upon estimates 
extrapolated from animal toxicity data.

                     Commander or Institute Director

    The commander or institute director of an Army activity conducting 
RDTE with BDP etiologic agents, or the equivalent, at a research 
organization under contract to the BDP.

                               Institution

    An organization such as an Army RDTE activity (institute, agency, 
center, and so forth) or a contract organization such as a school of 
medicine, or research institute that conducts RDTE with BDP etiologic 
agents.

                               Laboratory

    An individual room or rooms within a facility that provide space in 
which work with etiologic agents can be performed. It contains all of 
the appropriate engineering features and equipment required at a given 
biosafety level to protect personnel working in it and the environment 
external to the facility.

                         Large-Scale Operations

    Research or production involving viable etiologic agents in 
quantities greater than 10 liters of culture.

                        Maximum Containment Area

    An area which meets the requirements for a BL-4 facility. The area 
may be an entire building or a single room within the building. See 
chapter 7 for details.

                              Molded Masks

    Formed masks that fit snugly around the mouth and nose and are 
designed to protect against a nontoxic nuisance level of dusts and 
powders. These do not require approval by NIOSH or MSHA. Masks made of 
gauze do not qualify.

                      Potential Accidental Exposure

    Any accident in which there was reason to believe that anyone 
working with a BDP agent may have been exposed to that agent, yet no 
measurable rise in antibody titer or diagnosis of intoxication or 
disease was made. However, the high probability existed for introduction 
of an agent through mucous membranes, respiratory tract, broken skin, or 
the circulatory system as a direct result of the accident, injury, or 
incident.

    Resource Conservation Recovery Act of 1976 Listed Hazardous Waste

    The waste materials listed by the Environmental Protection Agency 
under authority of the RCRA for which the agency regulates disposal. A 
description and listing of these wastes is located in 40 CFR part 261.

[[Page 607]]

                                  Suite

    An area consisting of more than one room, designed to be a 
functional unit in which entire operations can be facilitated. Suites 
may contain a combination of laboratories or animal holding rooms and 
associated support areas within a facility that are designed to conform 
to a particular biosafety level. There may be one or more suites within 
a facility.

                                  Toxin

    Toxic material of etiologic origin that has been isolated from the 
parent organism.\1\
---------------------------------------------------------------------------

    \1\ The publication ``Bacterial Toxins: a Table of Lethal Amounts,'' 
(Gill, D.M. (1982) Microbiological Reviews, 46:86-94) contains a useful 
table of mammalian toxicities of numerous toxins.

[[Page 609]]



                              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 611]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2006)

                      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--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 100-199)
        II  Office of Management and Budget Circulars and Guidance 
                (200-299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements [Reserved]


                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability 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)

[[Page 612]]

        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)
    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)
        LV  National Endowment for the Arts (Part 6501)
       LVI  National Endowment for the Humanities (Part 6601)
      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)
     LXVII  Institute of Museum and Library Services (Part 7701)
      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)

[[Page 613]]

    LXXVII  Office of Management and Budget (Part 8701)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Part 
                9701)
      XCIX  Department of Defense Human Resources Management and 
                Labor Relations Systems (Department of Defense--
                Office of Personnel Management) (Part 9901)

                      Title 6--Homeland Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)

                         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)
       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)

[[Page 614]]

     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      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 Policy and New Uses, 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)
     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  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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)

[[Page 615]]

                           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)
      XIII  Nuclear Waste Technical Review Board (Parts 1303--
                1399)
      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)
       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, Department of 
                Commerce (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board, 
                Department of Commerce (Parts 500--599)

[[Page 616]]

                    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)
        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)

[[Page 617]]

             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  Bureau of Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Bureau of Immigration and Customs Enforcement, 
                Department of Homeland Security (Parts 400--599)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

[[Page 618]]

                      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 Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
       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)
        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)

[[Page 619]]

        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)

                           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  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)

[[Page 620]]

        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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)
        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  Employee Benefits Security 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)

[[Page 621]]

                      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)

                      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)

[[Page 622]]

    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (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)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                         Title 35--[RESERVED]

             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)

[[Page 623]]

       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)
       III  Copyright Royalty Board, Library of Congress (Parts 
                301--399)
        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--1099)
        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)
       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)

[[Page 624]]

       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 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (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)

                   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--10010)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

[[Page 625]]

                       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)
     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 Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)

[[Page 626]]

        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  Defense Acquisition Regulations System, 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)
        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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  [Reserved]
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)

[[Page 627]]

        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 (Parts 
                5400--5499)
        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  Pipeline and Hazardous Materials Safety 
                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 Homeland Security (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)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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)

[[Page 628]]

        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 629]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2006)

                                                  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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
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

[[Page 630]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
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
Copyright Royalty Board                           37, III
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 and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 631]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Acquisition Regulations System          48, II
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  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
Employee Benefits Security Administration         29, XXV
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

[[Page 632]]

  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
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 Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102

[[Page 633]]

  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
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
  Defense Acquisition Regulations System          48, 2
  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; 42, I
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
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 Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
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; 42, I
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
[[Page 634]]

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
  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
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  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 Review, Executive Office for        8, V
  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
  Employee Benefits Security Administration       29, XXV
  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
  Public Contracts                                41, 50

[[Page 635]]

  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
  Copyright Royalty Board                         37, III
Local Television Loan Guarantee Board             7, XX
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
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

[[Page 636]]

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
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
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
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
Pipeline and Hazardous Materials Safety           49, I
     Administration
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 Innovative Technology                49, XI
     Administration
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

[[Page 637]]

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
  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
  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
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  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 and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection Bureau            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 639]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations that were 
made by documents published in the Federal Register since January 1, 
2001, 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, 2001, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000,'' published in 
11 separate volumes.

                                  2001

32 CFR
                                                                   66 FR
                                                                    Page
Chapter V
505.5 (e)(1), (5), (6), (12), (19), (29) introductory text, (i), 
        (ii), (31) introductory text, (i), (ii) and (32) revised 
                                                                   55876
619 Removed........................................................65652

                                  2002

32 CFR
                                                                   67 FR
                                                                    Page
Chapter V
505.5 (e)(1)(i) through (iv) revised; (e)(2) removed...............17618

                                  2003

32 CFR
                                                                   68 FR
                                                                    Page
Chapter V
505.5 (e)(3) revised...............................................25817
574 Removed........................................................28138

                                  2004

32 CFR
                                                                   69 FR
                                                                    Page
Chapter V
503 Removed........................................................76412
519 Revised........................................................47766
519.1 Corrected....................................................51569

                                  2005

32 CFR
                                                                   70 FR
                                                                    Page
Chapter V
504 Revised........................................................60723
505.5 (e)(20) added................................................49487
527 Removed........................................................18301
581.3 (g)(4)(i) and (ii) revised...................................67368

                                  2006

    (Regulations published from January 1, 2006 through July 1, 2006)

32 CFR
                                                                   71 FR
                                                                    Page
Chapter V
518 Revised.........................................................9222
578 Revised........................................................17276


                                  [all]