[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2012 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          32


          Parts 400 to 629

                         Revised as of July 1, 2009


          National Defense
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2009
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

          Legal Status and Use of Seals and Logos
          
          
          The seal of the National Archives and Records Administration 
              (NARA) authenticates the Code of Federal Regulations (CFR) as 
              the official codification of Federal regulations established 
              under the Federal Register Act. Under the provisions of 44 
              U.S.C. 1507, the contents of the CFR, a special edition of the 
              Federal Register, shall be judicially noticed. The CFR is 
              prima facie evidence of the original documents published in 
              the Federal Register (44 U.S.C. 1510).

          It is prohibited to use NARA's official seal and the stylized Code 
              of Federal Regulations logo on any republication of this 
              material without the express, written permission of the 
              Archivist of the United States or the Archivist's designee. 
              Any person using NARA's official seals and logos in a manner 
              inconsistent with the provisions of 36 CFR part 1200 is 
              subject to the penalties specified in 18 U.S.C. 506, 701, and 
              1017.

          Use of ISBN Prefix

          This is the Official U.S. Government edition of this publication 
              and is herein identified to certify its authenticity. Use of 
              the 0-16 ISBN prefix is for U.S. Government Printing Office 
              Official Editions only. The Superintendent of Documents of the 
              U.S. Government Printing Office requests that any reprinted 
              edition clearly be labeled as a copy of the authentic work 
              with a new ISBN.

              
              
          U . S . G O V E R N M E N T P R I N T I N G O F F I C E

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

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[Page iii]]




                            Table of Contents



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

  Title 32:
    SUBTITLE A--Department of Defense (Continued)
          Chapter V--Department of the Army                          5
  Finding Aids:
      Table of CFR Titles and Chapters........................     463
      Alphabetical List of Agencies Appearing in the CFR......     483
      List of CFR Sections Affected...........................     493

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 32 CFR 504.1 refers 
                       to title 32, part 504, 
                       section 1.

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

[[Page v]]



                               EXPLANATION

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

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2009), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

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

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, Washington DC 20408, or call 202-741-6010.

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 Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.




[[Page vii]]



REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call toll-free, 
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or 
fax your order to 202-512-2250, 24 hours a day. For payment by check, 
write to: US Government Printing Office - New Orders, P.O. Box 979050, 
St. Louis, MO 63197-9000. For GPO Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers, Daily Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
format via Federalregister.gov. For more information, contact Electronic 
Information Dissemination Services, U.S. Government Printing Office. 
Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
[email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.archives.gov/federal-
register. The NARA site also contains links to GPO Access.

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2009.







[[Page ix]]



                               THIS TITLE

    Title 32--National Defense is composed of six volumes. The parts in 
these volumes are arranged in the following order: parts 1-190, parts 
191-399, parts 400-629, parts 630-699, parts 700-799, and part 800 to 
end. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2009.

    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 part 800 to end.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.


[[Page 1]]



                       TITLE 32--NATIONAL DEFENSE




                  (This book contains parts 400 to 629)

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

              SUBTITLE A--Department of Defense (Continued)

                                                                    Part

chapter v--Department of the Army...........................         504


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.

[[Page 3]]

              Subtitle A--Department of Defense (Continued)

[[Page 5]]



                    CHAPTER V--DEPARTMENT OF THE ARMY




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

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

504             Obtaining information from financial 
                    institutions............................           7
505             Army Privacy Act Program....................          15
507             Manufacture and sale of decorations, medals, 
                    badges, insignia, commercial use of 
                    heraldic designs and Heraldic Quality 
                    Control Program.........................          47
508             Competition with civilian bands.............          53
510             Chaplains...................................          54
513             Indebtedness of military personnel..........          54
516             Litigation..................................          65
518             The Freedom of Information Act Program......         121
525             Entry authorization regulation for Kwajalein 
                    Missile Range...........................         177
                    SUBCHAPTER B--CLAIMS AND ACCOUNTS
534             Military court fees.........................         184
536             Claims against the United States............         188
537             Claims on behalf of the United States.......         263
538             Military payment certificates...............         274
                    SUBCHAPTER C--MILITARY EDUCATION
542             Schools and colleges........................         277
543-544         [Reserved]

       SUBCHAPTER D--MILITARY RESERVATIONS AND NATIONAL CEMETERIES
552             Regulations affecting military reservations.         280
553             Army national cemeteries....................         341
555             Corps of Engineers, research and 
                    development, laboratory research and 
                    development and tests, work for others..         353
                    SUBCHAPTER E--ORGANIZED RESERVES
562             Reserve Officers' Training Corps............         359

[[Page 6]]

564             National Guard regulations..................         362
                         SUBCHAPTER F--PERSONNEL
571             Recruiting and enlistments..................         370
575             Admission to the United States Military 
                    Academy.................................         371
581             Personnel review board......................         374
583             Former personnel [Reserved]

584             Family support, child custody, and paternity         383
589             Compliance with court orders by personnel 
                    and command sponsored family members....         402
                        SUBCHAPTER G--PROCUREMENT
619             [Reserved]

                  SUBCHAPTER H--SUPPLIES AND EQUIPMENT
621             Loan and sale of property...................         407
623             Loan of Army materiel.......................         418
625             Surface transportation--administrative 
                    vehicle management......................         458
626-629         [Reserved]

[[Page 7]]



       SUBCHAPTER A_AID OF CIVIL AUTHORITIES AND PUBLIC RELATIONS



                        PARTS 400-500 [RESERVED]



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 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

[[Page 8]]

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:
    (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

[[Page 9]]

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 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.

[[Page 10]]

    (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 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--

[[Page 11]]

    (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 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--

[[Page 12]]

    (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 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

[[Page 13]]

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)).



   Sec. 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.



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

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

 Date:__________________________________________________________________

 Signature:_____________________________________________________________
(Typed name)
(Mailing address of customer)
Statement of Customer Rights Under the Right to Financial Privacy Act of 
          1978
    Federal law protects the privacy of your financial records. Before 
banks, savings and loan associations, credit unions, credit card 
issuers, or other financial institutions may give financial information 
about you to a 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

[[Page 14]]

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)



Sec. 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.



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

(Official Letterhead)

 (Date)_________________________________________________________________

 Mr./Mrs._______________________________________________________________

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

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

(Describe the specific records to be examined)

    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)_____________________________________________

[[Page 15]]



Sec. 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_ARMY PRIVACY ACT PROGRAM--Table of Contents




Sec.
505.1 General information.
505.2 General provisions.
505.3 Privacy Act systems of records.
505.4 Collecting personal information.
505.5 Individual access to personal information.
505.6 Amendment of records.
505.7 Disclosure of personal information to other agencies and third 
          parties.
505.8 Training requirements.
505.9 Reporting requirements.
505.10 Use and establishment of exemptions.
505.11 Federal Register publishing requirements.
505.12 Privacy Act enforcement actions.
505.13 Computer Matching Agreement Program.
505.14 Recordkeeping requirements under the Privacy Act.

Appendix A to Part 505--References
Appendix B to Part 505--Denial Authorities for Records Under Their 
          Authority (Formerly Access and Amendment Refusal Authorities)
Appendix C to Part 505--Privacy Act Statement Format
Appendix D to Part 505--Exemptions; Exceptions; and DoD Blanket Routine 
          Uses
Appendix E to Part 505--Litigation Status Sheet
Appendix F to Part 505--Example of a System of Records Notice
Appendix G to Part 505--Management Control Evaluation Checklist
Appendix H to Part 505--Definitions

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

    Source: 71 FR 46052, Aug. 10, 2006, unless otherwise noted.



Sec. 505.1  General information.

    (a) Purpose. This part sets forth policies and procedures that 
govern personal information maintained by the Department of the Army 
(DA) in Privacy Act systems of records. This part also provides guidance 
on collecting and disseminating personal information in general. The 
purpose of the Army Privacy Act Program is to balance the government's 
need to maintain information about individuals with the right of 
individuals to be protected against unwarranted invasions of their 
privacy stemming from Federal agencies' collection, maintenance,

[[Page 16]]

use and disclosure of personal information about them. Additionally, 
this part promotes uniformity within the Army's Privacy Act Program.
    (b) References: (1) Referenced publications are listed in Appendix A 
of this part.
    (2) DOD Computer Matching Program and other Defense Privacy 
Guidelines may be accessed at the Defense Privacy Office Web site http:/
/www.defenselink.mil/privacy.
    (c) Definitions are provided at Appendix H of this part.
    (d) Responsibilities. (1) The Office of the Administrative Assistant 
to the Secretary of the Army will--
    (i) Act as the senior Army Privacy Official with overall 
responsibility for the execution of the Department of the Army Privacy 
Act Program;
    (ii) Develop and issue policy guidance for the program in 
consultation with the Army General Counsel; and
    (iii) Ensure the DA Privacy Act Program complies with Federal 
statutes, Executive Orders, Office of Management and Budget guidelines, 
and 32 CFR part 310.
    (2) The Chief Attorney, Office of the Administrative Assistant to 
the Secretary of the Army (OAASA) will--
    (i) Provide advice and assistance on legal matters arising out of, 
or incident to, the administration of the DA Privacy Act Program;
    (ii) Serve as the legal advisor to the DA Privacy Act Review Board. 
This duty may be fulfilled by a designee in the Chief Attorney and Legal 
Services Directorate, OAASA;
    (iii) Provide legal advice relating to interpretation and 
application of the Privacy Act of 1974; and
    (iv) Serve as a member on the Defense Privacy Board Legal Committee. 
This duty may be fulfilled by a designee in the Chief Attorney and Legal 
Services Directorate, OAASA.
    (3) The Judge Advocate General will serve as the Denial Authority on 
requests made pursuant to the Privacy Act of 1974 for access to or 
amendment of Army records, regardless of functional category, concerning 
actual or potential litigation in which the United States has an 
interest.
    (4) The Chief, DA Freedom of Information Act and Privacy Office 
(FOIA/P), U.S. Army Records Management and Declassification Agency 
will--
    (i) Develop and recommend policy;
    (ii) Execute duties as the Army's Privacy Act Officer;
    (iii) Promote Privacy Act awareness throughout the DA;
    (iv) Serve as a voting member on the Defense Data Integrity Board 
and the Defense Privacy Board;
    (v) Represent the Department of the Army in DOD policy meetings; and
    (vi) Appoint a Privacy Act Manager who will--
    (A) Administer procedures outlined in this part;
    (B) Review and approve proposed new, altered, or amended Privacy Act 
systems of records notices and subsequently submit them to the Defense 
Privacy Office for coordination;
    (C) Review Department of the Army Forms for compliance with the 
Privacy Act and this part;
    (D) Ensure that reports required by the Privacy Act are provided 
upon request from the Defense Privacy Office;
    (E) Review Computer Matching Agreements and recommend approval or 
denial to the Chief, DA FOIA/P Office;
    (F) Provide Privacy Act training;
    (G) Provide privacy guidance and assistance to DA activities and 
combatant commands where the Army is the Executive Agent;
    (H) Ensure information collections are developed in compliance with 
the Privacy Act provisions;
    (I) Ensure Office of Management and Budget reporting requirements, 
guidance, and policy are accomplished; and
    (J) Immediately review privacy violations of personnel to locate the 
problem and develop a means to prevent recurrence of the problem.
    (5) Heads of Department of the Army activities, field-operating 
agencies, direct reporting units, Major Army commands, subordinate 
commands down to the battalion level, and installations will--
    (i) Supervise and execute the privacy program in functional areas 
and activities under their responsibility; and
    (ii) Appoint a Privacy Act Official who will--
    (A) Serve as the staff advisor on privacy matters;

[[Page 17]]

    (B) Ensure that Privacy Act records collected and maintained within 
the Command or agency are properly described in a Privacy Act system of 
records notice published in the Federal Register;
    (C) Ensure no undeclared systems of records are being maintained;
    (D) Ensure Privacy Act requests are processed promptly and 
responsively;
    (E) Ensure a Privacy Act Statement is provided to individuals when 
information is collected that will be maintained in a Privacy Act system 
of records, regardless of the medium used to collect the personal 
information (i.e., forms, personal interviews, stylized formats, 
telephonic interviews, or other methods);
    (F) Review, biennially, recordkeeping practices to ensure compliance 
with the Act, paying particular attention to the maintenance of 
automated records. In addition, ensure cooperation with records 
management officials on such matters as maintenance and disposal 
procedures, statutory requirements, forms, and reports; and
    (G) Review, biennially Privacy Act training practices. This is to 
ensure all personnel are familiar with the requirements of the Act.
    (6) DA Privacy Act System Managers and Developers will--
    (i) Ensure that appropriate procedures and safeguards are developed, 
implemented, and maintained to protect an individual's personal 
information;
    (ii) Ensure that all personnel are aware of their responsibilities 
for protecting personal information being collected and maintained under 
the Privacy Act Program;
    (iii) Ensure official filing systems that retrieve records by name 
or other personal identifier and are maintained in a Privacy Act system 
of records have been published in the Federal Register as a Privacy Act 
system of records notice. Any official who willfully maintains a system 
of records without meeting the publication requirements, as prescribed 
by 5 U.S.C. 552a, as amended, OMB Circular A-130, 32 CFR part 310 and 
this part, will be subject to possible criminal penalties and/or 
administrative sanctions;
    (iv) Prepare new, amended, or altered Privacy Act system of records 
notices and submit them to the DA Freedom of Information and Privacy 
Office for review. After appropriate coordination, the system of records 
notices will be submitted to the Defense Privacy Office for their review 
and coordination;
    (v) Review, biennially, each Privacy Act system of records notice 
under their purview to ensure that it accurately describes the system of 
records;
    (vi) Review, every four years, the routine use disclosures 
associated with each Privacy Act system of records notice in order to 
determine if such routine use continues to be compatible with the 
purpose for which the activity collected the information;
    (vii) Review, every four years, each Privacy Act system of records 
notice for which the Secretary of the Army has promulgated exemption 
rules pursuant to Sections (j) or (k) of the Act. This is to ensure such 
exemptions are still appropriate;
    (viii) Review, every year, contracts that provide for the 
maintenance of a Privacy Act system of records to accomplish an 
activity's mission. This requirement is to ensure each contract contains 
provisions that bind the contractor, and its employees, to the 
requirements of 5 U.S.C. 552a(m)(1); and
    (ix) Review, if applicable, ongoing Computer Matching Agreements. 
The Defense Data Integrity Board approves Computer Matching Agreements 
for 18 months, with an option to renew for an additional year. This 
additional review will ensure that the requirements of the Privacy Act, 
Office of Management and Budget guidance, local regulations, and the 
requirements contained in the Matching Agreements themselves have been 
met.
    (7) All DA personnel will--
    (i) Take appropriate actions to ensure personal information 
contained in a Privacy Act system of records is protected so that the 
security and confidentiality of the information is preserved;
    (ii) Not disclose any personal information contained in a Privacy 
Act system of records except as authorized by 5 U.S.C. 552a, DOD 
5400.11-R, or other applicable laws. Personnel willfully making a 
prohibited disclosure are subject to possible criminal penalties and/or 
administrative sanctions; and

[[Page 18]]

    (iii) Report any unauthorized disclosures or unauthorized 
maintenance of new Privacy Act systems of records to the applicable 
activity's Privacy Act Official.
    (8) Heads of Joint Service agencies or commands for which the Army 
is the Executive Agent or the Army otherwise provides fiscal, 
logistical, or administrative support, will adhere to the policies and 
procedures in this part.
    (9) Commander, Army and Air Force Exchange Service, will supervise 
and execute the Privacy Program within that command pursuant to this 
part.
    (10) Overall Government-wide responsibility for implementation of 
the Privacy Act is the Office of Management and Budget. The Department 
of Defense is responsible for implementation of the Act within the armed 
services. The Privacy Act also assigns specific Government-wide 
responsibilities to the Office of Personnel Management and the General 
Services Administration.
    (11) Government-wide Privacy Act systems of records notices are 
available at http://www.defenselink.mil/privacy.
    (e) Legal Authority. (1) Title 5, United States Code, Section 552a, 
as amended, The Privacy Act of 1974.
    (2) Title 5, United States Code, Section 552, The Freedom of 
Information Act (FOIA).
    (3) Office of Personnel Management, Federal Personnel Manual (5 CFR 
parts 293, 294, 297, and 7351).
    (4) OMB Circular No. A-130, Management of Federal Information 
Resources, Revised, August 2003.
    (5) DOD Directive 5400.11, Department of Defense Privacy Program, 
November 16, 2004.
    (6) DOD Regulation 5400.11-R, Department of Defense Privacy Program, 
August 1983.
    (7) Title 10, United States Code, Section 3013, Secretary of the 
Army.
    (8) Executive Order No. 9397, Numbering System for Federal Accounts 
Relating to Individual Persons, November 30, 1943.
    (9) Public Law 100-503, the Computer Matching and Privacy Act of 
1974.
    (10) Public Law 107-347, Section 208, Electronic Government (E-Gov) 
Act of 2002.
    (11) DOD Regulation 6025.18-R, DOD Health Information Privacy 
Regulation, January 24, 2003.



Sec. 505.2  General provisions.

    (a) Individual privacy rights policy. Army policy concerning the 
privacy rights of individuals and the Army's responsibilities for 
compliance with the Privacy Act are as follows--
    (1) Protect the privacy of United States living citizens and aliens 
lawfully admitted for permanent residence from unwarranted intrusion.
    (2) Deceased individuals do not have Privacy Act rights, nor do 
executors or next-of-kin in general. However, immediate family members 
may have limited privacy rights in the manner of death details and 
funeral arrangements of the deceased individual. Family members often 
use the deceased individual's Social Security Number (SSN) for federal 
entitlements; appropriate safeguards must be implemented to protect the 
deceased individual's SSN from release. Also, the Health Insurance 
Portability and Accountability Act extends protection to certain medical 
information contained in a deceased individual's medical records.
    (3) Personally identifiable health information of individuals, both 
living and deceased, shall not be used or disclosed except for 
specifically permitted purposes.
    (4) Maintain only such information about an individual that is 
necessary to accomplish the Army's mission.
    (5) Maintain only personal information that is timely, accurate, 
complete, and relevant to the collection purpose.
    (6) Safeguard personal information to prevent unauthorized use, 
access, disclosure, alteration, or destruction.
    (7) Maintain records for the minimum time required in accordance 
with an approved National Archives and Records Administration record 
disposition.
    (8) Let individuals know what Privacy Act records the Army maintains 
by publishing Privacy Act system of records notices in the Federal 
Register. This will enable individuals to review and make copies of 
these

[[Page 19]]

records, subject to the exemptions authorized by law and approved by the 
Secretary of the Army. Department of the Army Privacy Act systems of 
records notices are available at http://www.defenselink.mil/privacy.
    (9) Permit individuals to correct and amend records about themselves 
which they can prove are factually in error, not timely, not complete, 
not accurate, or not relevant.
    (10) Allow individuals to request an administrative review of 
decisions that deny them access to or the right to amend their records.
    (11) Act on all requests promptly, accurately, and fairly.
    (12) Keep paper and electronic records that are retrieved by name or 
personal identifier only in approved Privacy Act systems of records.
    (13) Maintain no records describing how an individual exercises his 
or her rights guaranteed by the First Amendment (freedom of religion, 
freedom of political beliefs, freedom of speech and press, freedom of 
peaceful assemblage, and petition) unless expressly authorized by 
statute, pertinent to and within the scope of an authorized law 
enforcement activity, or otherwise authorized by law or regulation.
    (14) Maintain appropriate administrative technical and physical 
safeguards to ensure records are protected from unauthorized alteration 
or disclosure.
    (b) Safeguard personal information. (1) Privacy Act data will be 
afforded reasonable safeguards to prevent inadvertent or unauthorized 
disclosure of records during processing, storage, transmission, and 
disposal.
    (2) Personal information should never be placed on shared drives 
that are accessed by groups of individuals unless each person has an 
``official need to know'' the information in the performance of official 
duties.
    (3) Safeguarding methods must strike a balance between the 
sensitivity of the data, need for accuracy and reliability for 
operations, general security of the area, and cost of the safeguards. In 
some situations, a password may be enough protection for an automated 
system with a log-on protocol. For additional guidance on safeguarding 
personal information in automated records see AR 380-67, The Department 
of the Army Personnel Security Program.
    (c) Conveying privacy protected data electronically via e-mail and 
the World Wide Web. (1) Unencrypted electronic transmission of privacy 
protected data makes the Army vulnerable to information interception 
which can cause serious harm to the individual and the accomplishment of 
the Army's mission.
    (2) The Privacy Act requires that appropriate technical safeguards 
be established, based on the media (e.g., paper, electronic) involved, 
to ensure the security of the records and to prevent compromise or 
misuse during transfer.
    (3) Privacy Web sites and hosted systems with privacy-protected data 
will employ secure sockets layers (SSL) and Public Key Infrastructure 
(PKI) encryption certificates or other DoD-approved commercially 
available certificates for server authentication and client/server 
authentication. Individuals who transmit data containing personally 
identifiable information over e-mail will employ PKI or other DoD-
approved certificates.
    (4) When sending Privacy Act protected information within the Army 
using encrypted or dedicated lines, ensure that--
    (i) There is an ``official need to know'' for each addressee 
(including ``cc'' addressees); and
    (ii) The Privacy Act protected information is marked For Official 
Use Only (FOUO) to inform the recipient of limitations on further 
dissemination. For example, add FOUO to the beginning of an e-mail 
message, along with the following language: ``This contains FOR OFFICIAL 
USE ONLY (FOUO) information which is protected under the Privacy Act of 
1974 and AR 340-21, The Army Privacy Program. Do not further disseminate 
this information without the permission of the sender.''
    (iii) Do not indiscriminately apply this statement. Use it only in 
situations when actually transmitting protected Privacy Act information.
    (iv) For additional information about marking documents ``FOUO'' 
review AR 25-55, Chapter IV.
    (5) Add appropriate ``Privacy and Security Notices'' at major Web 
site

[[Page 20]]

entry points. Refer to AR 25-1, para 6-4n for requirements for posting 
``Privacy and Security Notices'' on public Web sites. Procedures related 
to the establishing, operating, and maintaining of unclassified DA Web 
sites can be accessed at http://www.defenselink.mil/webmasters/policy/
DOD--web--policy.
    (6) Ensure public Web sites comply with policies regarding 
restrictions on persistent and third party cookies. The Army prohibits 
both persistent and third part cookies. (see AR 25-1, para 6-4n)
    (7) A Privacy Advisory is required on Web sites which host 
information systems soliciting personally identifying information, even 
when not maintained in a Privacy Act system of records. The Privacy 
Advisory informs the individual why the information is solicited and how 
it will be used. Post the Privacy Advisory to the Web site page where 
the information is being solicited, or to a well marked hyperlink 
stating ``Privacy Advisory--Please refer to the Privacy and Security 
Notice that describes why this information is collected and how it will 
be used.''
    (d) Protecting records containing personal identifiers such as names 
and Social Security Numbers. (1) Only those records covered by a Privacy 
Act system of records notice may be arranged to permit retrieval by a 
personal identifier (e.g., an individual's name or Social Security 
Number). AR 25-400-2, paragraph 6-2 requires all records covered by a 
Privacy Act system of records notice to include the system of record 
identification number on the record label to serve as a reminder that 
the information contained within must be safeguarded.
    (2) Use a coversheet or DA Label 87 (For Official Use Only) for 
individual records not contained in properly labeled file folders or 
cabinets.
    (3) When developing a coversheet, the following is an example of a 
statement that you may use: ``The information contained within is FOR 
OFFICIAL USE ONLY (FOUO) and protected by the Privacy Act of 1974.''
    (e) Notification of Individuals when personal information is lost, 
stolen, or compromised. (1) Whenever an Army organization becomes aware 
the protected personal information pertaining to a Service member, 
civilian employee (appropriated or non-appropriated fund), military 
retiree, family member, or another individual affiliated with Army 
organization (e.g., volunteer) has been lost, stolen, or compromised, 
the organization shall inform the affected individuals as soon as 
possible, but not later than ten days after the loss or compromise of 
protected personal information is discovered.
    (2) At a minimum, the organization shall advise individuals of what 
specific data was involved; the circumstances surrounding the loss, 
theft, or compromise; and what protective actions the individual can 
take.
    (3) If Army organizations are unable to comply with policy, they 
will immediately notify their superiors, who will submit a memorandum 
through the chain of command to the Administrative Assistant of the 
Secretary of the Army to explain why the affected individuals or 
population's personal information has been lost, stolen, or compromised.
    (4) This policy is also applicable to Army contractors who collect, 
maintain, use, or disseminate protected personal information on behalf 
of the organization.
    (f) Federal government contractors' compliance. (1) When a DA 
activity contracts for the design, development, or operation of a 
Privacy Act system of records in order to accomplish a DA mission, the 
agency must apply the requirements of the Privacy Act to the contractor 
and its employees working on the contract (See 48 CFR part 24 and other 
applicable supplements to the FAR; 32 CFR part 310).
    (2) System Managers will review annually, contracts contained within 
the system(s) of records under their responsibility, to determine which 
ones contain provisions relating to the design, development, or 
operation of a Privacy Act system of records.
    (3) Contractors are considered employees of the Army for the purpose 
of the sanction provisions of the Privacy Act during the performance of 
the contract requirements.
    (4) Disclosing records to a contractor for use in performing the 
requirements

[[Page 21]]

of an authorized DA contract is considered a disclosure within the 
agency under exception (b)(1), ``Official Need to Know'', of the Act.



Sec. 505.3  Privacy Act systems of records.

    (a) Systems of records. (1) A system of records is a group of 
records under the control of a DA activity that are retrieved by an 
individual's name or by some identifying number, symbol, or other 
identifying particular assigned to an individual.
    (2) Privacy Act systems of records must be--
    (i) Authorized by Federal statute or an Executive Order;
    (ii) Needed to carry out DA's mission; and
    (iii) Published in the Federal Register in a system of records 
notice, which will provide the public an opportunity to comment before 
DA implements or changes the system.
    (3) The mere fact that records are retrievable by a name or personal 
identifier is not enough. Records must actually be retrieved by a name 
or personal identifier. Records in a group of records that may be 
retrieved by a name or personal identifier but are not normally 
retrieved by this method are not covered by this part. However, they are 
covered by AR 25-55, the Department of the Army Freedom of Information 
Act Program.
    (4) The existence of a statute or Executive Order mandating the 
maintenance of a system of records to perform an authorized activity 
does not abolish the responsibility to ensure the information in the 
system of records is relevant and necessary to perform the authorized 
activity.
    (b) Privacy Act system of records notices. (1) DA must publish 
notices in the Federal Register on new, amended, altered, or deleted 
systems of records to inform the public of the Privacy Act systems of 
records that it maintains. The Privacy Act requires submission of new or 
significantly changed systems of records to OMB and both houses of 
Congress before publication in the Federal Register (See Appendix E of 
this part).
    (2) Systems managers must send a proposed notice at least 120 days 
before implementing a new, amended or altered system to the DA Freedom 
of Information and Privacy Office. The proposed or altered notice must 
include a narrative statement and supporting documentation. A narrative 
statement must contain the following items:
    (i) System identifier and name;
    (ii) Responsible Official, title, and phone number;
    (iii) If a new system, the purpose of establishing the system or if 
an altered system, nature of changes proposed;
    (iv) Authority for maintenance of the system;
    (v) Probable or potential effects of the system on the privacy of 
individuals;
    (vi) Whether the system is being maintained, in whole or in part, by 
a contractor;
    (vii) Steps taken to minimize risk of unauthorized access;
    (viii) Routine use compatibility;
    (ix) Office of Management and Budget information collection 
requirements; and
    (x) Supporting documentation as an attachment. Also as an attachment 
should be the proposed new or altered system notice for publication in 
the Federal Register.
    (3) An amended or altered system of records is one that has one or 
more of the following:
    (i) A significant increase in the number, type, or category of 
individuals about whom records are maintained;
    (ii) A change that expands the types of categories of information 
maintained;
    (iii) A change that alters the purpose for which the information is 
used;
    (iv) A change to equipment configuration (either hardware or 
software) that creates substantially greater access to the records in 
the system of records;
    (v) An addition of an exemption pursuant to Section (j) or (k) of 
the Act; or
    (vi) An addition of a routine use pursuant to 5 U.S.C. 552a(b)(3).
    (4) For additional guidance contact the DA FOIA/P Office.
    (5) On behalf of DA, the Defense Privacy Office maintains a list of 
DOD Components' Privacy Act system of records notices at the Defense 
Privacy Office's Web site http://www.defenselink.mil/privacy.

[[Page 22]]

    (6) DA PAM 25-51 sets forth procedures pertaining to Privacy Act 
system of records notices.
    (7) For new systems, system managers must establish appropriate 
administrative, technical, and physical safeguards to ensure the 
security and confidentiality of records. This applies to all new systems 
of records whether maintained manually or automated.
    (i) One safeguard plan is the development and use of a Privacy 
Impact Assessment (PIA) mandated by the E-Gov Act of 2002, Section 208. 
The Office of Management and Budget specifically directs that a PIA be 
conducted, reviewed, and published for all new or significantly altered 
information in identifiable form collected from or about the members of 
the public. The PIA describes the appropriate administrative, technical, 
and physical safeguards for new automated systems. This will assist in 
the protection against any anticipated threats or hazards to the 
security or integrity of data, which could result in substantial harm, 
embarrassment, inconvenience, or unfairness to any individual on whom 
information is maintained. Contact your local Information Officer for 
guidance on conducting a PIA.
    (ii) The development of appropriate safeguards must be tailored to 
the requirements of the system as well as other factors, such as the 
system environment, location, and accessibility.



Sec. 505.4  Collecting personal information.

    (a) General provisions. (1) Employees will collect personal 
information to the greatest extent practicable directly from the subject 
of the record. This is especially critical, if the information may 
result in adverse determinations about an individual's rights, benefits, 
and privileges under federal programs (See 5 U.S.C. 552a(e)(2)).
    (2) It is unlawful for any Federal, State, or local government 
agency to deny anyone a legal right, benefit, or privilege provided by 
law for refusing to give their SSN unless the law requires disclosure, 
or a law or regulation adopted before January 1, 1975, required the SSN 
or if DA uses the SSN to verify a person's identity in a system of 
records established and in use before that date. Executive Order 9397 
(issued prior to January 1, 1975) authorizes the Army to solicit and use 
the SSN as a numerical identifier for individuals in most federal 
records systems. However, the SSN should only be collected as needed to 
perform official duties. Executive Order 9397 does not mandate the 
solicitation of SSNs from Army personnel as a means of identification.
    (3) Upon entrance into military service or civilian employment with 
DA, individuals are asked to provide their SSN. The SSN becomes the 
service or employment number for the individual and is used to establish 
personnel, financial, medical, and other official records. After an 
individual has provided his or her SSN for the purpose of establishing a 
record, the Privacy Act Statement is not required if the individual is 
only requested to furnish or verify the SSN for identification purposes 
in connection with the normal use of his or her records. If the SSN is 
to be used for a purpose other than identification, the individual must 
be informed whether disclosure of the SSN is mandatory or voluntary; by 
what statutory authority the SSN is solicited; and what uses will be 
made of the SSN. This notification is required even if the SSN is not to 
be maintained in a Privacy Act system of records.
    (4) When asking an individual for his or her SSN or other personal 
information that will be maintained in a system of records, the 
individual must be provided with a Privacy Act Statement.
    (b) Privacy Act Statement (PAS). (1) A Privacy Act Statement is 
required whenever personal information is requested from an individual 
and will become part of a Privacy Act system of records. The information 
will be retrieved by the individual's name or other personal identifier 
(See 5 U.S.C. 552a(e)(3)).
    (2) The PAS will ensure that individuals know why the information is 
being collected so they can make an informed decision as to providing 
the personal information.
    (3) In addition, the PAS will include language that is explicit, 
easily understood, and not so lengthy as to deter an individual from 
reading it.

[[Page 23]]

    (4) A sign can be displayed in areas where people routinely furnish 
this kind of information, and a copy of the PAS will be made available 
upon request by the individual.
    (5) Do not ask the person to sign the PAS.
    (6) A Privacy Act Statement must include the following four items--
    (i) Authority: Cite the specific statute or Executive Order, 
including a brief title or subject that authorizes the DA to collect the 
personal information requested.
    (ii) Principal Purpose (s): Cite the principal purposes for which 
the information will be used.
    (iii) Routine Uses: A list of where and why the information will be 
disclosed OUTSIDE of DOD. Applicable routine uses are published in the 
applicable Privacy Act system of records notice(s). If none, the 
language to be used is: ``Routine Use(s): None. However the `Blanket 
Routine Uses' set forth at the beginning of the Army's compilation of 
systems of records notices apply.''
    (iv) Disclosure: Voluntary or Mandatory. Include in the Privacy Act 
Statement specifically whether furnishing the requested personal data is 
mandatory or voluntary. A requirement to furnish personal data is 
mandatory ONLY when a federal statute, Executive Order, regulation, or 
other law specifically imposes a duty on the individual to provide the 
information sought, and when the individual is subject to a penalty if 
he or she fails to provide the requested information. If providing the 
information is only a condition of or prerequisite to granting a benefit 
or privilege and the individual has the option of receiving the benefit 
or privilege, providing the information is always voluntary. However, 
the loss or denial of the privilege, benefit, or entitlement sought must 
be listed as a consequence of not furnishing the requested information.
    (7) Some acceptable means of administering the PAS are as follows, 
in the order of preference--
    (i) Below the title of the media used to collect the personal 
information. The PAS should be positioned so that the individual will be 
advised of the PAS before he or she provides the requested information;
    (ii) Within the body with a notation of its location below the 
title;
    (iii) On the reverse side with a notation of its location below the 
title;
    (iv) Attached as a tear-off sheet; or
    (v) Issued as a separate supplement.
    (8) An example of a PAS is at appendix B of this part.
    (9) Include a PAS on a Web site page if it collects information 
directly from an individual and is retrieved by his or her name or 
personal identifier (See Office of Management and Budget Privacy Act 
Guidelines, 40 FR 28949, 28961 (July 9, 1975)).
    (10) Army policy prohibits the collection of personally identifying 
information on public Web sites without the express permission of the 
user. Requests for exceptions must be forwarded to the Army CIO/G-6. 
(See AR 25-1, para 6-4n.)
    (c) Collecting personal information from third parties. (1) It may 
not be practical to collect personal information directly from the 
individual in all cases. Some examples of when collection from third 
parties may be necessary are when--
    (i) Verifying information;
    (ii) Opinions or evaluations are needed;
    (iii) The subject cannot be contacted; or
    (iv) At the request of the subject individual.
    (2) When asking third parties to provide information about other 
individuals, they will be advised of--
    (i) The purpose of the request; and
    (ii) Their rights to confidentiality as defined by the Privacy Act 
of 1974 (Consult with your servicing Staff Judge Advocate for potential 
limitations to the confidentiality that may be offered pursuant to the 
Privacy Act).
    (d) Confidentiality promises. Promises of confidentiality must be 
prominently annotated in the record to protect from disclosure any 
information provided in confidence pursuant to 5 U.S.C. 552a(k)(2), 
(k)(5), or (k)(7).



Sec. 505.5  Individual access to personal information.

    (a) Individual access. (1) The access provisions of this part are 
intended for use by individuals whose records are maintained in a 
Privacy Act system of

[[Page 24]]

records. If a representative acts on their behalf, a written 
authorization must be provided, with the exception of members of 
Congress acting on behalf of a constituent.
    (2) A Department of the Army ``Blanket Routine Use'' allows the 
release of Privacy Act protected information to members of Congress when 
they are acting on behalf of the constituent and the information is 
filed and retrieved by the constituent's name or personal identifier. 
The said ``Blanket Routine Use'' is listed below.
    ``Congressional Inquiries Disclosure Routine Use: Disclosure from a 
system of records maintained by a DOD Component 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.''
    (3) Upon a written request, an individual will be granted access to 
information pertaining to him or her that is maintained in a Privacy Act 
system of records, unless--
    (i) The information is subject to an exemption, the system manager 
has invoked the exemption, and the exemption is published in the Federal 
Register; or
    (ii) The information was compiled in reasonable anticipation of a 
civil action or proceeding.
    (4) Legal guardians or parents acting on behalf of a minor child 
have the minor child's rights of access under this part, unless the 
records were created or maintained pursuant to circumstances where the 
interests of the minor child were adverse to the interests of the legal 
guardian or parent.
    (5) These provisions should allow for the maximum release of 
information consistent with Army and DOD's statutory responsibilities.
    (b) Individual requests for access. (1) Individuals will address 
requests for access to records in a Privacy Act system of records to the 
system manager or the custodian of the record designated in DA systems 
of records notices (See DA PAM 25-51 or the Defense Privacy Office's Web 
site http://www.defenselink.mil/privacy).
    (2) Individuals do not have to state a reason or justify the need to 
gain access to records under the Act.
    (3) Release of personal information to individuals under this 
section is not considered a ``public release'' of information.
    (c) Verification of identity for first party requesters. (1) Before 
granting access to personal data, an individual will provide reasonable 
verification of identity.
    (2) When requesting records in writing, the preferred method of 
verifying identity is the submission of a notarized signature. An 
alternative method of verifying identity for individuals who do not have 
access to notary services is the submission of an un-sworn declaration 
in accordance with 28 U.S.C. 1746 in the following format:
    (i) If executed within the United States, its territories, 
possessions, or commonwealths: ``I declare (or certify, verify, or 
state) under penalty of perjury that the foregoing is true and correct. 
Executed on (date). (Signature)''.
    (ii) If executed outside of the United States: ``I declare under 
perjury or penalty under the laws of the United States of America that 
the foregoing is true and correct. Executed on (date). (Signature).''
    (3) When an individual seeks access in person, identification can be 
verified by documents normally carried by the individual (such as 
identification card, driver's license, or other license, permit or pass 
normally used for identification purposes). However, level of proof of 
identity is commensurate with the sensitivity of the records sought. For 
example, more proof is required to access medical records than is 
required to access parking records.
    (4) Telephonic requests will not be honored.
    (5) An individual cannot be denied access solely for refusal to 
provide his or her Social Security Number (SSN) unless the SSN was 
required for access by statute or regulation adopted prior to January 1, 
1975.
    (6) If an individual wishes to have his or her records released 
directly to a third party or to be accompanied by a third party when 
seeking access to his or her records, reasonable proof of authorization 
must be obtained. The individual may be required to furnish a

[[Page 25]]

signed access authorization with a notarized signature or other proof of 
authenticity (i.e. telephonic confirmation) before granting the third 
party access.
    (d) Individual access to medical records. (1) An individual must be 
given access to his or her medical and psychological records unless a 
judgment is made that access to such records could have an adverse 
effect on the mental or physical health of the individual. This 
determination normally should be made in consultation with a medical 
doctor. Additional guidance is provided in DOD 5400.11-R, Department of 
Defense Privacy Program. In this instance, the individual will be asked 
to provide the name of a personal health care provider, and the records 
will be provided to that health care provider, along with an explanation 
of why access without medical supervision could be harmful to the 
individual.
    (2) Information that may be harmful to the record subject should not 
be released to a designated individual unless the designee is qualified 
to make psychiatric or medical determinations.
    (3) DA activities may offer the services of a military physician, 
other than the one who provided the treatment.
    (4) Do not require the named health care provider to request the 
records for the individual.
    (5) The agency's decision to furnish the records to a medical 
designee and not directly to the individual is not considered a denial 
for reporting purposes under the Act and cannot be appealed.
    (6) However, no matter what the special procedures are, DA has a 
statutory obligation to ensure that access is provided the individual.
    (7) Regardless of age, all DA military personnel and all married 
persons are considered adults. The parents of these individuals do not 
have access to their medical records without written consent of the 
individual.
    (8) DOD 6025.18-R, DOD Health Information Privacy Regulation, issued 
pursuant to the Health Insurance Portability and Accountability Act 
(HIPAA) of 1996, has placed additional procedural requirements on the 
uses and disclosure of individually identifiable health information 
beyond those found in the Privacy Act of 1974 and this part. In order to 
be in compliance with HIPAA, the additional guidelines and procedures 
will be reviewed before release of an individual's identifiable health 
information.
    (e) Personal notes. (1) The Privacy Act does not apply to personal 
notes of individuals used as memory aids. These documents are not 
Privacy Act records and are not subject to this part.
    (2) The five conditions for documents to be considered personal 
notes are as follows--
    (i) Maintained and discarded solely at the discretion of the author;
    (ii) Created only for the author's personal convenience and the 
notes are restricted to that of memory aids;
    (iii) Not the result of official direction or encouragement, whether 
oral or written;
    (iv) Not shown to others for any reason; and
    (v) Not filed in agency files.
    (3) Any disclosure from personal notes, either intentional or 
through carelessness, removes the information from the category of 
memory aids and the personal notes then become subject to provisions of 
the Act.
    (f) Denial or limitation of individual's right to access. (1) Even 
if the information is filed and retrieved by an individual's name or 
personal identifier, his or her right to access may be denied if--
    (i) The records were compiled in reasonable anticipation of a civil 
action or proceeding including any action where DA expects judicial or 
administrative adjudicatory proceedings. The term ``civil action or 
proceeding'' includes quasi-judicial, pre-trial judicial, and 
administrative proceedings, as well as formal litigation;
    (ii) The information is about a third party and does not pertain to 
the requester. A third party's SSN and home address will be withheld. 
However, information about the relationship between the individual and 
the third party would normally be disclosed as it pertains to the 
individual;
    (iii) The records are in a system of records that has been properly 
exempted by the Secretary of the Army from the access provisions of this 
part and the information is exempt from release

[[Page 26]]

under a provision of the Freedom of Information Act (See appendix C of 
this part for a list of applicable Privacy Act exemptions, exceptions, 
and ``Blanket'' routine uses);
    (iv) The records contain properly classified information that has 
been exempted from the access provision of this part;
    (v) The records are not described well enough to enable them to be 
located with a reasonable amount of effort on the part of an employee 
familiar with the file. Requesters should reasonably describe the 
records they are requesting. They do not have to designate a Privacy Act 
system of records notice identification number, but they should at least 
identify a type of record or functional area. For requests that ask for 
``all records about me,'' DA personnel should ask the requester for more 
information to narrow the scope of his or her request; and
    (vi) Access is sought by an individual who fails or refuses to 
comply with Privacy Act established procedural requirements, included 
refusing to pay fees.
    (2) Requesters will not use government equipment, supplies, 
stationery, postage, telephones, or official mail channels for making 
Privacy Act requests. System managers will process such requests but 
inform requesters that using government resources to make Privacy Act 
requests is not authorized.
    (3) When a request for information contained in a Privacy Act system 
of records is denied in whole or in part, the Denial Authority or 
designee shall inform the requester in writing and explain why the 
request for access has been refused.
    (4) A request for access, notification, or amendment of a record 
shall be acknowledged in writing within 10 working days of receipt by 
the proper system manager or record custodian.
    (g) Relationship between the Privacy Act and the Freedom of 
Information Act. (1) Not all requesters are knowledgeable of the 
appropriate statutory authority to cite when requesting information. In 
some instances, they may cite neither the PA nor the Freedom of 
Information Act in their request. In some instances they may cite one 
Act but not the other. The Freedom of Information Act and the PA works 
together to ensure that requesters receive the greatest amount of 
information possible.
    (2) Do not deny the individual access to his or her records simply 
because he or she failed to cite the appropriate statute or regulation.
    (3) If the records are required to be released under the Freedom of 
Information Act, the PA will never block disclosure to requester. If the 
PA allows the DA activity to deny access to an individual, the Freedom 
of Information Act must still be applied, and the information released 
if required by the Freedom of Information Act.
    (4) Unlike the Freedom of Information Act, the Privacy Act applies 
only to U.S. citizens and aliens lawfully admitted for permanent 
residence.
    (5) Requesters who seek records about themselves contained in a 
Privacy Act system of records (1st party requesters) and who cite or 
imply only the Privacy Act, will have their request processed under the 
provisions of both the PA and the Freedom of Information Act. If the 
information requested is not contained in a Privacy Act system of 
records or is not about the requester, the individual's request will be 
processed under the provisions of the Freedom of Information Act only, 
and the Freedom of Information Act processing requirements/time lines 
will apply.
    (6) Third party information. (i) Third party information contained 
in a Privacy Act system of records that does not pertain to the 
requester, such as SSN, home addresses, and other purely personal 
information that is not about the requester, will be processed under the 
provisions of Freedom of Information Act only. Third party information 
that is not about the requester is not subject to the Privacy Act's 
first party access provision.
    (ii) Information about the relationship between the first party 
requester and a third party is normally disclosed as pertaining to the 
first party requester. Consult your servicing Staff Judge Advocate if 
there is a question about the release of third party information to a 
first party requester.

[[Page 27]]

    (7) If an individual requests information about them contained in a 
Privacy Act system of records, the individual may be denied the 
information only if the information is exempt under both the PA and the 
Freedom of Information Act. Both PA and Freedom of Information Act 
exemptions will be cited in the denial letter and appeals will be 
processed in accordance with both Acts.
    (8) Each time a first party requester cites or implies the PA, 
perform this analysis:
    (i) Is the request from a United States living citizen or an alien 
lawfully admitted for permanent residence?
    (ii) Is the individual requesting an agency record?
    (iii) Are the records within a PA system of records that are filed 
and retrieved by an individual's name or other personal identifier? (If 
the answer is ``yes'' to all of these questions, then the records should 
be processed under the ``Privacy Act'') and
    (iv) Does the information requested pertain exclusively to the 
requester?
    (A) If yes, no further consideration of Freedom of Information Act 
exemptions required. Release all information unless a PA exemption 
authorizes withholding.
    (B) If no, process the information that is not about the requester 
under the Freedom of Information Act and withhold only if a proper 
Freedom of Information Act exemption applies.
    (h) Functional requests. If an individual asks for his or her 
records and does not cite or reasonably imply either the Privacy Act or 
the Freedom of Information Act, and another prescribing directive or 
regulation authorizes the release, the records should be released under 
that other directive or regulation and not the PA or the FOIA. Examples 
of functional requests are military members asking to see their Official 
Military Personnel Records or civilian employees asking to see their 
Official Personnel Folder.
    (i) Procedures for denying or limiting an individual's right to 
access or amendment and the role of the Denial Authority. (1) The only 
officials authorized to deny a request for records or a request to amend 
records in a PA system of records pertaining to the requesting 
individual, are the appropriate Denial Authorities, their designees, or 
the Secretary of the Army who will be acting through the General 
Counsel.
    (2) Denial Authorities are authorized to deny requests, either in 
whole or in part, for notification, access and amendment of Privacy Act 
records contained in their respective areas of responsibility.
    (i) The Denial Authority may delegate all or part of their authority 
to a division chief under his supervision within the Agency in the grade 
of 0-5/GS-14 or higher. All delegations must be in writing.
    (ii) The Denial Authority will send the names, office names, and 
telephones numbers of their delegates to the DA Freedom of Information 
and Privacy Office.
    (iii) If a Denial Authority delegate denies access or amendment, the 
delegate must clearly state that he or she is acting on behalf of the 
Denial Authority, who must be identified by name and position in the 
written response to the requester. Denial Authority designation will not 
delay processing privacy requests/actions.
    (iv) The official Denial Authorities are for records under their 
authority (See appendix B of this part). The individuals designated as 
Denial Authorities under this part are the same individuals designated 
as Initial Denial Authorities under AR 25-55, the Department of the Army 
Freedom of Information Act Program. However, delegation of Denial 
Authority pursuant to this part does not automatically encompass 
delegation of Initial Denial Authority under AR 25-55. Initial Denial 
Authority must be expressly delegated pursuant to AR 25-55 for an 
individual to take action on behalf of an Initial Denial Authority under 
AR 25-55.
    (3) The custodian of the record will acknowledge requests for access 
made under the provisions of the Privacy Act within 10 working days of 
receipt.
    (4) Requests for information recommended for denial will be 
forwarded to the appropriate Denial Authority, along with a copy of the 
records and justification for withholding the record. At the same time, 
notify the requester of the referral to the Denial

[[Page 28]]

Authority for action. All documents or portions thereof determined to be 
releasable to the requester will be released to the requester before 
forwarding the case to the Denial Authority.
    (5) Within 30 working days, the Denial Authority will provide the 
following notification to the requester in writing if the decision is to 
deny the requester access to the information.
    (6) Included in the notification will be:
    (i) Denying Official's name, position title, and business address;
    (ii) Date of the denial;
    (iii) The specific reason for the denial, citing the appropriate 
subsections of the Privacy Act, the Freedom of Information Act, AR 25-
55, The Department of the Army Freedom of Information Act Program and 
this part; and
    (iv) The individual's right to administratively appeal the denial 
within 60 calendar days of the mailing date of the notice, through the 
Denial Authority, to the Office of the General Counsel, Secretary of the 
Army, 104 Army Pentagon, Washington, DC 20310-0104.
    (7) The appeal must be in writing and the requester should provide a 
copy of the denial letter and a statement of their reasons for seeking 
review.
    (8) For denials made by the DA when the record is maintained in a 
Government-wide system of records, an individual's request for further 
review must be addressed to each of the appropriate government Privacy 
Act offices listed in the Privacy Act system of records notices. For a 
current listing of Government-wide Privacy Act system of records notices 
see the Defense Privacy Office's Web site http://www.defenselink.mil/
privacy or DA PAM 25-51.
    (j) No records determinations. (1) Since a no record response may be 
considered an ``adverse'' determination, the Denial Authority must make 
the final determination that no records exist. The originating agency 
shall notify the requester that an initial determination has been made 
that there are no responsive records, however the final determination 
will be made by the Denial Authority. A no records certificate must 
accompany a no records determination that is forwarded to the Denial 
Authority.
    (2) The Denial Authority must provide the requester with appeal 
rights.
    (k) Referral of requests. (1) A request received by a DA activity 
having no records responsive to a request shall be referred to another 
DOD Component or DA activity, if the other Component or activity 
confirms that they have the requested records, or verifies that they are 
the proper custodian for that type of record. The requester will be 
notified of the referral. In cases where the DA activity receiving the 
request has reason to believe that the existence or nonexistence of the 
record may in itself be classified, that activity will consult the 
Component or activity having cognizance over the records in question 
before referring the request. If the Component or activity that is 
consulted determines that the existence or nonexistence of the records 
is in itself classified, the requester shall be so notified by the DA 
activity originally receiving the request that it can neither confirm 
nor deny the existence of the record, and no referral shall take place.
    (2) A DA activity shall refer a Privacy Act request for a classified 
record that it holds to another DOD Component, DA activity, or agency 
outside the Department of Defense, if the record originated in the other 
DOD Component, DA activity, or outside agency, or if the classification 
is derivative. The referring DA activity will provide the records and a 
release recommendation with the referral action.
    (3) Any DA activity receiving a request that has been misaddressed 
will refer the request to the proper address and advise the requester.
    (4) Within DA, referrals will be made directly to offices having 
custody of the requested records (unless the Denial Authority is the 
custodian of the requested records). If the office receiving the Privacy 
Act request does not know where the requested records are located, the 
office will contact the DA FOIA/P Office, to determine the appropriate 
office for referral.
    (5) The requester will be informed of the referral whenever records 
or a portion of records are, after prior consultation, referred to 
another activity for a release determination and direct

[[Page 29]]

response. Additionally, the DA activity referral letter will accomplish 
the following--
    (i) Fully describe the Privacy Act system of records from which the 
document was retrieved; and
    (ii) Indicate whether the referring activity claims any exemptions 
in the Privacy Act system of records notice.
    (6) Within the DA, an activity will refer a Privacy Act request for 
records that it holds but was originated by another activity, to the 
originating activity for direct response. An activity will not, in any 
case, release or deny such records without prior consultation with the 
originating activity. The requester will be notified of such referral.
    (7) A DA activity may refer a Privacy Act request for records that 
originated in an agency outside of DOD, or that is based on information 
obtained from an agency outside the DOD, to that agency for direct 
response to the requester, only if that agency is subject to the Privacy 
Act. Otherwise, the DA activity must respond to the request.
    (8) DA activities will not honor any Privacy Act requests for 
investigative, intelligence, or any other type of records that are on 
loan to the Department of Defense for a specific purpose, if the records 
are restricted from further release in writing. Such requests will be 
referred to the agency that provided the records.
    (9) A DA activity will notify requesters seeking National Security 
Council (NSC) or White House documents that they should write directly 
to the NSC or White House for such documents. DA documents in which the 
NSC or White House have a concurrent reviewing interest will be 
forwarded to the Department of Defense, Office of Freedom of Information 
and Security Review, which will coordinate with the NSC or White House, 
and return the documents to the originating DA activity after NSC or 
White House review. NSC or White House documents discovered in DA 
activity files which are responsive to a Privacy Act request will be 
forwarded to DOD for coordination and return with a release 
determination.
    (10) To the extent referrals are consistent with the policies 
expressed above; referrals between offices of the same DA activity are 
authorized.
    (l) Reproduction fees. (1) Use fees only to recoup direct 
reproduction costs associated with granting access.
    (2) DA activities may use discretion in their decision to charge for 
the first copy of records provided to an individual to whom the records 
pertain. Thereafter, fees will be computed pursuant to the fee schedule 
set forth in AR 25-55, including the fee waiver provisions.
    (3) Checks or money orders for fees should be made payable to the 
Treasurer of the United States and will be deposited in the 
miscellaneous receipts of the treasury account maintained at the 
activity's finance office.
    (4) Reproduction costs shall only include the direct costs of 
reproduction and shall not include costs of--
    (i) Time or effort devoted to searching for or reviewing the records 
by personnel;
    (ii) Fees not associated with the actual cost of reproduction;
    (iii) Producing a copy when it must be provided to the individual 
without cost under another regulation, directive, or law;
    (iv) Normal postage;
    (v) Transportation of records or personnel; or
    (vi) Producing a copy when the individual has requested only to 
review the records and has not requested a copy, and the only means of 
allowing review is to make a copy (e.g., the records are stored in a 
computer and a copy must be printed to provide individual access, or the 
activity does not wish to surrender temporarily the original records for 
the individual to review).
    (m) Privacy Act case files. (1) Whenever an individual submits a 
Privacy Act request, a case file will be established. This Privacy Act 
case file is a specific type of file that is governed by a specific 
Privacy Act system of records notice. In no instance will the 
individual's Privacy Act request and corresponding Army actions be 
included in the individual's military personnel file or other military 
filing systems, such as adverse action files or general legal files, and 
in no instance will the Privacy Act case file be used

[[Page 30]]

to make an adverse determination about the individual.
    (2) The case file will be comprised of the request for access/
amendment, grants, refusals, coordination action(s), and all related 
papers.



Sec. 505.6  Amendment of records.

    (a) Amended records. (1) Individuals are encouraged to periodically 
review the information maintained about them in Privacy Act systems of 
records and to familiarize themselves with the amendment procedures 
established by this part.
    (2) An individual may request to amend records that are retrieved by 
his or her name or personal identifier from a system of records unless 
the system has been exempted from the amendment provisions of the Act. 
The standard for amendment is that the records are inaccurate as a 
matter of fact rather than judgment, irrelevant, untimely, or 
incomplete. The burden of proof is on the requester.
    (3) The system manager or custodian must review Privacy Act records 
for accuracy, relevance, timeliness, and completeness.
    (4) Amendment procedures are not intended to permit individuals to 
challenge events in records that have actually occurred. Amendment 
procedures only allow individuals to amend those items that are 
factually inaccurate and not matters of official judgment (e.g., 
performance ratings, promotion potential, and job performance 
appraisals). In addition, an individual is not permitted to amend 
records for events that have been the subject of judicial or quasi-
judicial actions/proceedings.
    (b) Proper amendment requests. (1) Amendment requests, except for 
routine administrative changes, will be in writing.
    (2) When acting on behalf of a first party requester, an individual 
must provide written documentation of the first party requester's 
consent to allow the individual to view his or her records.
    (3) Amendment is appropriate if it can be shown that--
    (i) Circumstances leading up to the recorded event were found to be 
inaccurately reflected in the document;
    (ii) The record is not identical to the individual's copy; or
    (iii) The document was not constructed in accordance with the 
applicable recordkeeping requirements prescribed in AR 25-400-2, The 
Army Records Information Management System (ARIMS).
    (4) Under the amendment provisions, an individual may not challenge 
the merits of an adverse determination.
    (5) U.S. Army Criminal Investigation Command (USACIDC) reports of 
investigations (PA system of records notice A0195-2a USACIDC, Source 
Register; A0195-2b USACIDC, Criminal Investigation and Crime Laboratory 
Files) have been exempted from the amendment provisions of the Privacy 
Act. Requests to amend these reports will be considered under AR 195-2. 
Actions taken by the Commander of U.S. Army Criminal Investigation 
Command will constitute final action on behalf of the Secretary of the 
Army under that regulation.
    (6) Records placed in the National Archives are exempt 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 that are under the legal control of the originating agency; 
for example, an agency's current operating files or records stored at a 
Federal Records Center.
    (7) Inspector General investigative files and action request/
complaint files (records in system notice A0021-1 SAIG, Inspector 
General Records) have been exempted from the amendment provisions of the 
Privacy Act. Requests to amend these reports will be considered under AR 
20-1 by the Inspector General. Action by the Inspector General will 
constitute final action on behalf of the Secretary of the Army under 
that regulation.
    (8) Other records that are exempt from the amendment provisions of 
the Privacy Act are listed in the applicable PA system of records 
notices.
    (c) Amendment procedures. (1) Requests to amend records should be 
addressed to the custodian or system manager of the records. The request 
must reasonably describe the records to be amended and the changes 
sought

[[Page 31]]

(e.g., deletion, addition, or amendment). The burden of proof is on the 
requester. The system manager or records custodian will provide the 
individual with a written acknowledgment of the request within 10 
working days and will make a final response within 30 working days of 
the date the request was received. The acknowledgment must clearly 
identify the request and inform the individual that final action will be 
forthcoming within 30 working days.
    (2) Records for which amendment is sought must be reviewed by the 
proper system manager or custodian for accuracy, relevance, timeliness, 
and completeness.
    (3) If the amendment is appropriate, the system manager or custodian 
will physically amend the records accordingly. The requester will be 
notified of such action.
    (4) If the amendment is not warranted, the request and all relevant 
documents, including reasons for not amending, will be forwarded to the 
proper Denial Authority within 10 working days to ensure that the 30 day 
time limit for the final response is met. In addition, the requester 
will be notified of the referral.
    (5) Based on the documentation provided, the Denial Authority will 
either amend the records and notify the requester and the custodian of 
the records of all actions taken, or deny the request. If the records 
are amended, those who have received the records in the past will 
receive notice of the amendment.
    (6) If the Denial Authority determines that the amendment is not 
warranted, he or she will provide the requester and the custodian of the 
records reason(s) for not amending. In addition, the Denial Authority 
will send the requester an explanation regarding his or her right to 
seek further review by the DA Privacy Act Review Board, through the 
Denial Authority, and the right to file a concise ``Statement of 
Disagreement'' to append to the individual's records.
    (i) On receipt of a request for further review by the Privacy Act 
Review Board, the Denial Authority will append any additional records or 
background information that substantiates the refusal or renders the 
case complete;
    (ii) Within 5 working days of receipt, forward the appeal to the DA 
Privacy Act Review Board; and
    (iii) Append the servicing Judge Advocate's legal review, including 
a determination that the Privacy Act Review Board packet is complete.
    (d) DA Privacy Act Review Board. (1) The DA Privacy Act Review Board 
acts on behalf of the Secretary of the Army in deciding appeals of the 
appropriate Denial Authority's refusal to amend records.
    (2) The Board will process an appeal within 30 working days of its 
receipt. The General Counsel may authorize an additional 30 days when 
unusual circumstances and good cause so warrant.
    (3) The Board membership consists of the following principal 
members, comprised of three voting and two non-voting members, or their 
delegates.
    (4) Three voting members include--
    (i) Administrative Assistant to the Secretary of the Army (AASA) who 
acts as the Chairman of the Board;
    (ii) The Judge Advocate General; and
    (iii) The Chief, DA Freedom of Information and Privacy Division, 
U.S. Army Records Management and Declassification Agency.
    (5) In addition, two non-voting members include--
    (i) The Chief Attorney, OAASA (or designee) who serves as the legal 
advisor and will be present at all Board sessions to provide legal 
advice as required; and
    (ii) Recording Secretary provided by the Office of the 
Administrative Assistant to the Secretary of the Army.
    (e) DA Privacy Act Review Board meetings. (1) The meeting of the 
Board requires the presence of all five members or their designated 
representatives. Other non-voting members with subject matter expertise 
may participate in a meeting of the Board, at the discretion of the 
Chairman.
    (2) Majority vote of the voting members is required to make a final 
determination on a request before the Board.
    (3) Board members, who have denial authority, may not vote on a 
matter upon which they took Denial Authority action. However, an 
individual who

[[Page 32]]

took Denial Authority action, or his or her representative, may serve as 
a non-voting member when the Board considers matters in the Denial 
Authority's area of functional specialization.
    (4) The Board may seek additional information, including the 
requester's official personnel file, if relevant and necessary to decide 
the appeal.
    (5) If the Board determines that an amendment is warranted (the 
record is inaccurate as a matter of fact rather than judgment, 
irrelevant, untimely, or incomplete) it will amend the record and notify 
the requester, the Denial Authority, the custodian of the record, and 
any prior recipients of the record, of the amendment.
    (6) If the Board determines that amendment is unwarranted, they 
will--
    (i) Obtain the General Counsel's concurrence in writing;
    (ii) Respond to the requester with the reasons for denial; and
    (iii) Inform the requester of the right to file a ``Statement of 
Disagreement'' with the Board's action and to seek judicial review of 
the Army's refusal to amend. A ``Statement of Disagreement'' must be 
received by the system manager within 120 days and it will be made an 
integral part of the pertinent record. Anyone who may have access to, 
use of, or need to disclose information from the record will be aware 
that the record was disputed. The disclosing authority may include a 
brief summary of the Board's reasons for not amending the disputed 
record.
    (7) It is inappropriate for the Privacy Act Review Board to consider 
any record which is exempt from the amendment provision of the Privacy 
Act.



Sec. 505.7  Disclosure of personal information to other agencies and third 

parties.

    (a) Disclosing records to third parties. (1) DA is prohibited from 
disclosing a record from a Privacy Act system of records to any person 
or agency without the prior written consent of the subject of the 
record, except when--
    (i) Pursuant to the twelve Privacy Act exceptions. The twelve 
exceptions to the ``no disclosure without consent'' rule are those 
exceptions which permit the release of personal information without the 
individual's/subject's consent (See appendix C of this part).
    (ii) The FOIA requires the release of the record. One of the twelve 
exceptions to Privacy Act is the FOIA Exception. If the FOIA requires 
the release of information, the information must be released. The 
Privacy Act can not prevent release to a third party if the FOIA 
requires release. However, information must not be discretionarily 
released under the FOIA if the information is subject to the Privacy 
Act's ``no disclosure without consent'' rule.
    (iii) A routine use applies. Another major exception to the ``no 
disclosure without consent'' rule is the routine use exception. The 
Privacy Act allows federal agencies to publish routine use exceptions to 
the Privacy Act. Some routine uses are Army specific, DOD specific, and 
Governmentwide. Routine uses exceptions are listed in the Privacy Act 
system of records notice(s) applicable to the Privacy Act records in 
question. The Army and other agencies' system of records notices may be 
accessed at the Defense Privacy Office's Web site http://
www.defenselink.mil/privacy.
    (2) The approved twelve exceptions to the Privacy Act ``no 
disclosure without consent'' rule are listed at appendix C of this part.
    (b) Disclosing records to other DOD components and to federal 
agencies outside the DOD. (1) The twelve Privacy Act exceptions referred 
to in appendix C of this part are available to other DOD components and 
to federal agencies outside the DOD as exceptions to the Privacy Act's 
``no disclosure without consent'' rule, with the exception of the FOIA 
exception. The FOIA is not an appropriate mechanism for providing 
information to other DOD components and to federal agencies outside the 
DOD.
    (2) A widely used exception to requests for information from local 
and state government agencies and federal agencies not within the DOD is 
the routine use exception to the Privacy Act.
    (3) The most widely used exception to requests for information from 
other DOD components is the ``intra-agency

[[Page 33]]

need to know'' exception to the Privacy Act. Officers and employees of 
the DOD who have an official need for the records in the performance of 
their official duties are entitled to Privacy Act protected information. 
Rank, position, or title alone does not authorize access to personal 
information about others. An official need for the information must 
exist before disclosure.
    (4) For the purposes of disclosure and disclosure accounting, the 
Department of Defense (DOD) is considered a single agency.
    (c) Disclosures under AR 25-55, the Freedom of Information Act 
(FOIA) Program. (1) Despite Privacy Act protections, all records must be 
disclosed if the Freedom of Information Act (FOIA) requires their 
release. The FOIA requires release unless the information is exempted by 
one or more of the nine FOIA exemptions.
    (2) Required release under the FOIA. The following are examples of 
personal information that is generally not exempt from the FOIA; 
therefore, it must be released to the public, unless covered by 
paragraphs (d)(2) and (d)(3) of this section. The following list is not 
all inclusive:
    (i) Military Personnel--
    (A) Rank, date of rank, active duty entry date, basic pay entry 
date, and gross pay (including base pay, special pay, and all allowances 
except Basic Allowance for Housing);
    (B) Present and past duty assignments, future stateside assignments;
    (C) Office/unit name, duties address and telephone number (DOD 
policy may require withholding of this information in certain 
circumstances);
    (D) Source of commission, promotion sequence number, military awards 
and decorations, and professional military education;
    (E) Duty status, at any given time;
    (F) Separation or retirement dates;
    (G) Military occupational specialty (MOS);
    (H) Active duty official attendance at technical, scientific or 
professional meetings; and
    (I) Biographies and photos of key personnel (DOD policy may require 
withholding of this information in certain circumstances).
    (ii) Federal civilian employees--
    (A) Present and past position titles, occupational series, and 
grade;
    (B) Present and past annual salary rates (including performance 
awards or bonuses, incentive awards, merit pay amount, Meritorious or 
Distinguished Executive Ranks, and allowances and differentials);
    (C) Present and past duty stations;
    (D) Office or duty telephone number (DOD policy may require 
withholding of this information in certain circumstances); and
    (E) Position descriptions, identification of job elements, and 
performance standards (but not actual performance appraisals), the 
release of which would not interfere with law enforcement programs or 
severely inhibit agency effectiveness. Performance elements and 
standards (or work expectations) may also be withheld when they are so 
intertwined with performance appraisals, the disclosure would reveal an 
individual's performance appraisal.
    (d) Personal information that requires protection. (1) The following 
are examples of information that is generally NOT releasable without the 
written consent of the subject. This list is not all inclusive--
    (i) Marital status;
    (ii) Dependents' names, sex and SSN numbers;
    (iii) Civilian educational degrees and major areas of study (unless 
the request for the information relates to the professional 
qualifications for Federal employment);
    (iv) School and year of graduation;
    (v) Home of record;
    (vi) Home address and phone;
    (vii) Age and date of birth;
    (viii) Overseas assignments (present or future);
    (ix) Overseas office or unit mailing address and duty phone of 
routinely deployable or sensitive units;
    (x) Race/ethnic origin;
    (xi) Educational level (unless the request for the information 
relates to professional qualifications for federal employment);
    (xii) Social Security Number (SSN); and
    (xiii) The information that would otherwise be protected from 
mandatory disclosure under a FOIA exemption.

[[Page 34]]

    (2) The Office of the Secretary of Defense issued a policy 
memorandum in 2001 that provided greater protection of DOD personnel in 
the aftermath of 9/11 by requiring information that personally 
identifies DOD personnel be more carefully scrutinized and limited. In 
general, the Department of Defense has specifically advised that DOD 
components are not to release lists of names, duty addresses, present or 
past position titles, grades, salaries, and performance standards of DOD 
military members and civilian employees. At the office director level or 
above, the release of information will be limited to the name, official 
title, organization, and telephone number, provided a determination is 
made that disclosure does not raise security or privacy concerns. No 
other information, including room numbers, will normally be released 
about these officials. Consistent with current policy, information on 
officials below the office director level may continue to be released if 
their positions or duties require frequent interaction with the public.
    (3) Disclosure of records pertaining to personnel of overseas, 
sensitive, or routinely deployed units shall be prohibited to the extent 
authorized by 10 U.S.C. 130b.
    (e) Release of home addresses and home telephone numbers. (1) The 
release of home addresses and home telephone numbers normally is 
prohibited. This release is normally considered a clearly ``unwarranted 
invasion'' of personal privacy and is exempt from mandatory release 
under the FOIA. However, home addresses and home telephone numbers may 
still be released if--
    (i) The individual has indicated previously in writing that he or 
she has no objection to the release;
    (ii) The source of the information to be released is a public 
document such as commercial telephone directory or other public listing;
    (iii) The release is required by Federal statute (for example, 
pursuant to federally funded state programs to locate parents who have 
defaulted on child support payments) (See 42 U.S.C. 653); or
    (iv) The releasing of information is pursuant to the routine use 
exception or the ``intra-agency need to know'' exception to the Privacy 
Act.
    (2) A request for a home address or telephone number may be referred 
to the last known address of the individual for a direct reply by the 
individual to the requester. In such cases, the requester shall be 
notified of the referral.
    (3) Do not sell or rent lists of individual names and addresses 
unless such action is specifically authorized by the appropriate 
authority.
    (f) Emergency recall rosters. (1) The release of emergency recall 
rosters normally is prohibited. Their release is normally considered a 
clearly ``unwarranted invasion'' of personal privacy and is exempt from 
mandatory release under the FOIA. Emergency recall rosters should only 
be shared with those who have an ``official need to know'' the 
information, and they should be marked ``For Official Use Only'' (See AR 
25-55).
    (2) Do not include a person's SSN on an emergency recall roster or 
their spouse's name.
    (3) Commanders and supervisors should give consideration to those 
individuals with unlisted phone numbers. Commanders and supervisors 
should consider limiting access to an unlisted number within the unit.
    (g) Social rosters. (1) Before including personal information such 
as a spouse's name, home addresses, home phone numbers, and similar 
information on social rosters or social directories, which will be 
shared with individuals, always ask for the individual's written 
consent. Without their written consent, do not include this information.
    (2) Collection of this information will require a Privacy Act 
Statement which clearly tells the individual what information is being 
solicited, the purpose, to whom the disclosure of the information is 
made, and whether collection of the information is voluntary or 
mandatory.
    (h) Disclosure of personal information on group orders. (1) Personal 
information will not be posted on group orders so that everyone on the 
orders can view it. Such a disclosure of personal information violates 
the Privacy Act and this part.

[[Page 35]]

    (2) The following are some examples of personal information that 
should not be contained in group orders. The following list is not all-
inclusive--
    (i) Complete SSN;
    (ii) Home addresses and phone numbers; or
    (iii) Date of birth.
    (i) Disclosures for established routine uses. (1) Records may be 
disclosed outside the DOD without the consent of the individual to whom 
they pertain for an established routine use.
    (2) A routine use shall--
    (i) Be compatible with and related to the purpose for which the 
record was compiled;
    (ii) Identify the persons or organizations to which the records may 
be released; and
    (iii) Have been published previously in the Federal Register.
    (3) Establish a routine use for each user of the information outside 
the Department of Defense who needs official access to the records.
    (4) Routine uses may be established, discontinued, or amended 
without the consent of the individuals involved. However, new or changed 
routine uses must be published in the Federal Register at least 30 days 
before actually disclosing any records.
    (5) In addition to the routine uses listed in the applicable systems 
of records notices, ``Blanket Routine Uses'' for all DOD maintained 
systems of records have been established. These ``Blanket Routine Uses'' 
are applicable to every record system maintained within the DOD unless 
specifically stated otherwise within a particular record system. The 
``Blanket Routine Uses'' are listed at appendix C of this part.
    (j) Disclosure accounting. (1) System managers must keep an accurate 
record of all disclosures made from DA Privacy Act system of records, 
including those made with the consent of the individual, except when 
records are--
    (i) Disclosed to DOD officials who have a ``need to know'' the 
information to perform official government duties; or
    (ii) Required to be disclosed under the Freedom of Information Act.
    (2) The purpose for the accounting of disclosure is to--
    (i) Enable an individual to ascertain those persons or agencies that 
have received information about them;
    (ii) Enable the DA to notify past recipients of subsequent 
amendments or ``Statements of Dispute'' concerning the record; and
    (iii) Provide a record of DA compliance with the Privacy Act of 
1974, if necessary.
    (3) Since the characteristics of records maintained within DA vary 
widely, no uniform method for keeping the disclosure accounting is 
prescribed.
    (4) Essential elements to include in each disclosure accounting 
report are--
    (i) The name, position title, and address of the person making the 
disclosure;
    (ii) Description of the record disclosed;
    (iii) The date, method, and purpose of the disclosure; and
    (iv) The name, position title, and address of the person or agency 
to which the disclosure was made.
    (5) The record subject has the right of access to the disclosure 
accounting except when--
    (i) The disclosure was made for law enforcement purposes under 5 
U.S.C. 552a(b)(7); or
    (ii) The disclosure was made from a system of records for which an 
exemption from 5 U.S.C. 552a(c)(3) has been claimed.
    (6) There are no approved filing procedures for the disclosure of 
accounting records; however, system managers must be able to retrieve 
upon request. With this said, keep disclosure accountings for 5 years 
after the disclosure, or for the life of the record, whichever is 
longer.
    (7) When an individual requests such an accounting, the system 
manager or designee will respond within 20 working days.



Sec. 505.8  Training requirements.

    (a) Training. (1) The Privacy Act requires all heads of Army Staff 
agencies, field operating agencies, direct reporting units, Major 
Commands, subordinate commands, and installations to establish rules of 
conduct for all personnel involved in the design, development, 
operation, and maintenance of any Privacy Act system of records and

[[Page 36]]

to train the appropriate personnel with respect to the privacy rules 
including the penalties for non-compliance (See 5 U.S.C. 552a(e)(9)).
    (2) To meet the training requirements, three general levels of 
training must be established. They are--
    (i) Orientation. Training that provides basic understanding of this 
part as it applies to the individual's job performance. This training 
will be provided to personnel, as appropriate, and should be a 
prerequisite to all other levels of training;
    (ii) Specialized training. Training that provides information as to 
the application of specific provisions of this part to specialized areas 
of job performance. Personnel of particular concern include, but are not 
limited to, personnel specialists, finance officers, DOD personnel who 
may be expected to deal with the news media or the public, special 
investigators, paperwork managers, individuals working with medical and 
security records, records managers, computer systems development 
personnel, computer systems operations personnel, statisticians dealing 
with personal data and program evaluations, contractors and anyone 
responsible for implementing or carrying out functions under this part. 
Specialized training should be provided on a periodic basis; and
    (iii) Managerial training. Training designed to identify for 
responsible managers (such as senior system managers, Denial 
Authorities, and functional managers described in this section) issues 
that they should consider when making management decisions affected by 
the Privacy Act Program.
    (b) Training tools. Helpful resources include--
    (1) Privacy Act training slides for Major Commands and Privacy Act 
Officers: Contact the DA FOIA/P Office, or slides can be accessed at the 
Web site https://www.rmda.belvoir.army.mil/rmdaxml/rmda/FPHomePage.asp.
    (2) The ``DOJ Freedom of Information Act Guide and Privacy Act 
Overview'': The U.S. Department of Justice, Executive Office for United 
States Attorneys, Office of Legal Education, 600 E. Street, NW., Room 
7600, Washington, DC 20530, or training programs can be accessed at the 
Web site www.usdoj.gov/usao/eousa/ole.html.



Sec. 505.9  Reporting requirements.

    The Department of the Army will submit reports, consistent with the 
requirements of DOD 5400.11-R, OMB Circular A-130, and as otherwise 
directed by the Defense Privacy Office. Contact the DA FOIA/P Office for 
further guidance regarding reporting requirements.



Sec. 505.10  Use and establishment of exemptions.

    (a) Three types of exemptions. (1) There are three types of 
exemptions applicable to an individual's right to access permitted by 
the Privacy Act. They are the Special, General, and Specific exemptions.
    (2) Special exemption (d)(5)--Relieves systems of records from the 
access provision of the Privacy Act only. This exemption applies to 
information compiled in reasonable anticipation of a civil action or 
proceeding.
    (3) General exemption (j)(2)--Relieves systems of records from most 
requirements of the Act. Only Army activities actually engaged in the 
enforcement of criminal laws as their primary function may claim this 
exemption.
    (4) Specific exemptions (k)(1)-(k)(7)-Relieves systems of records 
from only a few provisions of the Act.
    (5) To find out if an exemption is available for a particular 
record, refer to the applicable system of records notices. System of 
records notices will state which exemptions apply to a particular type 
of record. System of records notices that are applicable to the Army are 
contained in DA Pam 25-51 (available at the Army Publishing Directorate 
Web site http://www.usapa.army.mil/), the Defense Privacy Office's Web 
site http://www.defenselink.mil/privacy/), or in this section). Some of 
the system of records notices apply only to the Army and the DOD and 
some notices are applicable government-wide.
    (6) Descriptions of current exemptions are listed in detail at 
appendix C of this part.
    (b) Exemption procedures. (1) For the General and Specific 
exemptions to be applicable to the Army, the Secretary

[[Page 37]]

of the Army must promulgate exemption rules to implement them. This 
requirement is not applicable to the one Special exemption which is 
self-executing. Once an exemption is made applicable to the Army through 
the exemption rules, it will be listed in the applicable system of 
records notices to give notice of which specific types of records the 
exemption applies to. When a system manager seeks to have an exemption 
applied to a certain Privacy Act system of records that is not currently 
provided for by an existing system of records notice, the following 
information will be furnished to the DA FOIA/P Office--
    (i) Applicable system of records notice;
    (ii) Exemption sought; and
    (iii) Justification.
    (2) After appropriate staffing and approval by the Secretary of the 
Army and the Defense Privacy Office, it will be published in the Federal 
Register as a proposed rule, followed by a final rule 60 days later. No 
exemption may be invoked until these steps have been completed.



Sec. 505.11  Federal Register publishing requirements.

    (a) The Federal Register. There are three types of documents 
relating to the Privacy Act Program that must be published in the 
Federal Register. They are the DA Privacy Program policy and procedures 
(AR 340-21), the DA exemption rules, and Privacy Act system of records 
notices.
    (b) Rulemaking procedures. (1) DA Privacy Program procedures and 
exemption rules are subject to the formal rulemaking process.
    (2) Privacy Act system of records notices are not subject to formal 
rulemaking and are published in the Federal Register as Notices, not 
Rules.
    (3) The Privacy Program procedures and exemption rules are 
incorporated into the Code of Federal Regulations (CFR). Privacy Act 
system of records notices are not published in the CFR.



Sec. 505.12  Privacy Act enforcement actions.

    (a) Judicial sanctions. The Act has both civil remedies and criminal 
penalties for violations of its provisions.
    (1) Civil remedies. The DA is subject to civil remedies for 
violations of the Privacy Act. In addition to specific remedial actions, 
5 U.S.C. 552a(g) may provide for the payment of damages, court costs, 
and attorney's fees.
    (2) Criminal penalties. A DA official or employee may be found 
guilty of a misdemeanor and fined not more than $5,000 for willfully--
    (i) Disclosing individually identifiable personal information to one 
not entitled to the information;
    (ii) Requesting or obtaining information from another's record under 
false pretenses; or
    (iii) Maintaining a system of records without first meeting the 
public notice requirements of the Act.
    (b) Litigation Status Sheet. (1) When a complaint citing the Privacy 
Act is filed in a U.S. District Court against the Department of the 
Army, an Army Component, a DA Official, or any Army employee, the 
responsible system manager will promptly notify the Army Litigation 
Division, 901 North Stuart Street, Arlington, VA 22203-1837.
    (2) The Litigation Status Sheet at appendix E of this part provides 
a standard format for this notification. At a minimum, the initial 
notification will have items (a) through (f) provided.
    (3) A revised Litigation Status Sheet must be provided at each stage 
of the litigation.
    (4) When a court renders a formal opinion or judgment, copies must 
be provided to the Defense Privacy Office by the Army Litigation 
Division.
    (c) Administrative remedies--Privacy Act complaints. (1) The 
installation level Privacy Act Officer is responsible for processing 
Privacy Act complaints or allegations of Privacy Act violations. 
Guidance should be sought from the local Staff Judge Advocate and 
coordination made with the system manager to assist in the resolution of 
Privacy Act complaints. The local Privacy Act officer is responsible 
for--
    (i) Reviewing allegations of Privacy Act violations and the evidence 
provided by the complainants;
    (ii) Making an initial assessment as to the validity of the 
complaint, and taking appropriate corrective action;

[[Page 38]]

    (iii) Coordinating with the local Staff Judge Advocate to determine 
whether a more formal investigation such as a commander's inquiry or an 
AR 15-6 investigation is appropriate; and
    (iv) Ensuring the decision at the local level from either the 
Privacy Act Officer or other individual who directed a more formal 
investigation is provided to the complainant in writing.
    (2) The decision at the local level may be appealed to the next 
higher command level Privacy Act Officer.
    (3) A legal review from the next higher command level Privacy Act 
Officer's servicing Staff Judge Advocate is required prior to action on 
the appeal.



Sec. 505.13  Computer Matching Agreement Program.

    (a) General provisions. (1) Pursuant to the Privacy Act and this 
part, DA records may be subject to computer matching, i.e., the computer 
comparison of automated systems of records.
    (2) There are two specific kinds of Matching Programs covered by the 
Privacy Act--
    (i) Matches using records from Federal personnel or payroll systems 
of records; and
    (ii) Matches involving Federal benefit programs to accomplish one or 
more of the following purposes--
    (A) To determine eligibility for a Federal benefit;
    (B) To comply with benefit program requirements; and
    (C) To effect recovery of improper payments or delinquent debts from 
current or former beneficiaries.
    (3) The comparison of records must be computerized. Manual 
comparisons are not covered.
    (4) Any activity that expects to participate in a Computer Matching 
Program must contact the DA FOIA/P Office immediately.
    (5) In all cases, Computer Matching Agreements are processed by the 
Defense Privacy Office and approved by the Defense Data Integrity Board. 
Agreements will be conducted in accordance with the requirements of 5 
U.S.C. 552a, and OMB Circular A-130.
    (b) Other matching. Several types of computer matching are exempt 
from the restrictions of the Act such as matches used for statistics, 
pilot programs, law enforcement, tax administration, routine 
administration, background checks, and foreign counterintelligence. The 
DA FOIA/P Office should be consulted if there is a question as to 
whether the Act governs a specific type of computer matching.



Sec. 505.14  Recordkeeping requirements under the Privacy Act.

    (a) AR 25-400-2, The Army Records Information Management System 
(ARIMS). To maintain privacy records are required by the Army Records 
Information Management System (ARIMS) to provide adequate and proper 
documentation of the conduct of Army business so that the rights and 
interests of individuals and the Federal Government are protected.
    (b) A full description of the records prescribed by this part and 
their disposition/retention requirements are found on the ARIMS Web site 
at https://www.arims.army.mil.



                 Sec. Appendix A to Part 505--References

    (a) The Privacy Act of 1974 (5 U.S.C. 552a, as amended).
    (b) OMB Circular No. A-130, Management of Federal Information 
Resources.
    (c) AR 25-55, The Department of the Army Freedom of Information 
Program.
    (d) DA PAM 25-51, The Army Privacy Program--System of Records 
Notices and Exemption Rules.
    (e) DOD Directive 5400.11, Department of Defense Privacy Program.
    (f) DOD 5400.11-R, Department of Defense Privacy Program.
    (g) AR 25-2, Information Assurance
    (h) AR 25-400-2, The Army Records Information Management System 
(ARIMS).
    (i) AR 27-10, Military Justice.
    (j) AR 40-66, Medical Record Administration and Health Care 
Documentation.
    (k) AR 60-20 and AFR 147-14, Army and Air Force Exchange Service 
Operating Policies.
    (l) AR 190-45, Law Enforcement Reporting.
    (m) AR 195-2, Criminal Investigation Activities.
    (n) AR 380-5, Department of Army Information Security Program.
    (o) DOD Directive 5400-7, DOD Freedom of Information Act (FOIA) 
Program.
    (q) DOD 5400.7-R, DOD Freedom of Information Program.
    (r) DOD 6025.18-R, DOD Health Information Privacy Regulation 
(HIPAA).
    (s) U.S. Department of Justice, Freedom of Information Act Guide and 
Privacy Act Overview.

[[Page 39]]

    (t) Office of Secretary of Defense memorandum, dated July 15, 2005, 
subject: Notifying Individuals when Personal Information is Lost, 
Stolen, or Compromised located at http://www.army.mil/ciog6/referencs/
policy/dos/OSDprivateinfo.pdf.



Sec. Appendix B to Part 505--Denial Authorities for Records Under Their 
      Authority (Formerly Access and Amendment Refusal Authorities)

    (a) 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 this authority to the Chief 
Attorney, OAASA (See DCS, G1 for Military Equal Opportunity (EO) 
actions).
    (b) 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, OAASA, acts on requests for non-finance and accounting records 
of the Assistant Secretary of the Army (Financial Management and 
Comptroller).
    (c) 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, OAASA, acts 
on requests for non-procurement records of the Assistant Secretary of 
the Army (Acquisition, Logistics and Technology).
    (d) 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 (Note: 
Requests from former civilian employees to amend a record in an Office 
of Personnel Management system of records, such as the Official 
Personnel Folder, should be sent to the Office of Personnel Management, 
Assistant Director for Workforce Information, Compliance, and 
Investigations Group: 1900 E. Street, NW., Washington, DC 20415-0001).
    (e) 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).
    (f) The Inspector General is authorized to act on requests for all 
Inspector General Records.
    (g) 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.
    (h) 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 this authority to the Chief 
Attorney and Legal Services Directorate, U.S. Army Resources & Programs 
Agency (See The Judge Advocate General for the General Officer 
Management Office actions). 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 The 
Judge Advocate General for the General Officer Management Office 
actions).
    (i) The Deputy Chief of Staff, G-3/5/7 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.
    (j) The Deputy Chief of Staff, G-8 is authorized to act on requests 
for records relating to programming, material integration and externally 
directed reviews.
    (k) The Deputy Chief of Staff, G-1 is authorized to act on the 
following records: Personnel board records, 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 (excluding individual personnel records of 
retired military personnel, which are the responsibility of the U.S. 
Army Human Resources Command-St. Louis), DA dealings with Veterans 
Affairs, U.S. Soldier's and Airmen's Home; all retention, promotion, and 
separation records; all military

[[Page 40]]

education records including records related to the removal or suspension 
from a military school or class; Junior Reserve Officer Training Corps 
(JROTC) and Senior Reserve Officer Training Corps (SROTC) records; SROTC 
instructor records; U.S. Military Academy Cadet Records; recruiting and 
MOS policy issues, personnel travel and transportation entitlements, 
military strength and statistics, The Army Librarian, demographics, and 
Manprint.
    (l) 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.
    (m) 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.
    (n) The Surgeon General/Commander, U.S. Army Medical Command, 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.
    (o) 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.
    (p) The Judge Advocate General is authorized to act on requests for 
records relating to claims, courts-martial, legal services, 
administrative
    (q) 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 Denial Authority'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.
    (r) The Chief, Army Reserve and Commander, U.S. Army Reserve Command 
are 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 Denial Authority's 
responsibility. Records under the responsibility of the Chief, Army 
Reserve and the Commander, U.S. Army Reserve Command 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; and all other Office of the Chief, Army Reserve 
(OCAR) records and Headquarters, U.S. Army Reserve Command records.
    (s) 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.
    (t) The Provost Marshal General 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 Provost Marshal General 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.
    (u) The Commander, U.S. Army Criminal Investigation Command, is 
authorized to act on requests for criminal investigative records of 
USACIDC headquarters, and its subordinate activities, and military 
police reports. This includes criminal investigation records, 
investigation-in-progress records, and all military police records and 
reports that result in criminal investigation reports. This authority 
has been delegated to the Director, U.S. Army Crime Records Center.
    (v) The Commander, U.S. Army Human Resources Command, is authorized 
to act on requests for military personnel files relating to active duty 
personnel including, but not limited to military personnel matters, 
military education records including records related to the removal or 
suspension from a military school or class; 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

[[Page 41]]

identification cards, naturalization and citizenship, commercial 
solicitation, Military Postal Service Agency and Army postal and 
unofficial mail service. The Commander, U.S. Army Human Resources 
Command, is also authorized to act on requests concerning all personnel 
and medical records of retired, separated, discharged, deceased, and 
reserve component military personnel, unless such records clearly fall 
within another Denial Authority's authority.
    (w) The Commander, U.S. Army Resources Command-St. Louis has been 
delegated authority to act on behalf of the U.S. Army Human Resources 
Commander 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 Denial 
Authority'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.
    (x) The Assistant Chief of Staff for Installation Management 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.
    (y) The Commander, U.S. 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, 
mapping and geodesy information, ground surveillance records, 
intelligence threat assessment, and missile intelligence data relating 
to tactical land warfare systems.
    (z) The Commander, U.S. Army Combat Readiness Center (formerly U.S. 
Army Safety Center), is authorized to act on requests for Army safety 
records.
    (aa) The Commander, U.S. 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.
    (bb) The General Counsel, Army and Air Force Exchange Service, is 
authorized to act on requests for Army and Air Force Exchange Service 
records, under AR 60-20/AFR 147-14.
    (cc) The Commandant, United States Disciplinary Barracks (USDB) is 
authorized to act on records pertaining to USDB functional area 
responsibilities relating to the administration and confinement of 
individual military prisoners at the USDB. This includes, but is not 
limited to, all records pertaining to the treatment of military 
prisoners; investigation of prisoner misconduct; management, operation, 
and administration of the USDB confinement facility; and related 
programs which fall directly within the scope of the Commandant's 
functional area of command and control.
    (dd) The Commander, U.S. Army Community and Family Support Center 
(USACFSC) is authorized to act on requests for records pertaining to 
morale, welfare, recreation, and entertainment programs; community and 
family action programs; child development centers; non-appropriated 
funds issues, and private organizations on Army installations.
    (ee) The Commander, Military Surface Deployment and Distribution 
Command (formerly Military Traffic Management Command) is authorized to 
act on requests for records pertaining to military and commercial 
transportation and traffic management records.
    (ff) The Director, Installation Management Agency (IMA) is 
authorized to act on requests for all IMA records.
    (gg) Special Denial Authority's 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 Department of the 
Army, Freedom of Information and Privacy Office to obtain current 
information on special delegations.



        Sec. Appendix C to Part 505--Privacy Act Statement Format

    (a) Authority: The specific federal statute or Executive Order that 
authorizes collection of the requested information.
    (b) Principal Purpose(s): The principal purpose or purposes for 
which the information is to be used.
    (c) Routine Uses(s): Disclosure of the information outside DOD.
    (d) Disclosure: Whether providing the information is voluntary or 
mandatory and the effects on the individual if he or she chooses not to 
provide the requested information.
    (1) Example of a Privacy Act Statement
    (i) Authority: Emergency Supplement Act of 2000; Public Law 106-246; 
5 U.S.C. 3013, Secretary of the Army; 10 U.S.C. 5013, Secretary of the 
Navy; 10 U.S.C. 8013, Secretary of the Air Force; Department of Defense 
Directive 8500.aa, Information Assurance (IA); and E.O. 9397 (SSN).
    (ii) Principal Purpose(s): To control access to DOD information, 
information based systems and facilities by authenticating the identity 
of a person using a measurable physical characteristic(s). This computer 
system uses software programs to create biometrics templates and summary 
statistics, which are used for purposes such as assessing

[[Page 42]]

system performance or identifying problem areas.
    (iii) Routine Use(s): None. The DoD ``Blanket Routine Uses'' set 
forth at the beginning of the Army's Compilations of System of Records 
Notices applies to this system.
    (iv) Disclosure: Voluntary; however, failure to provide the 
requested information may result in denial of access to DOD information 
based systems and/or DOD facilities.
    (2) [Reserved]



  Sec. Appendix D to Part 505--Exemptions; Exceptions; and DoD Blanket 
                              Routine Uses

    (a) Special Exemption. 5 U.S.C. 552a(d)(5)--Denies individual access 
to any information compiled in reasonable anticipation of civil action 
or proceeding.
    (b) General and Specific Exemptions. The Secretary of the Army may 
exempt Army systems of records from certain requirements of the Privacy 
Act. The two kinds of exemptions that require Secretary of the Army 
enactment are General and Specific exemptions. The Army system of 
records notices for a particular type of record will state whether the 
Secretary of the Army has authorized a particular General and Specific 
exemption to a certain type of record. The Army system of records 
notices are published in DA Pam 25-51 and on the Defense Privacy 
Office's Web site http://www.defenselink.mil/privacy/.
    (c) Twelve Exceptions to the ``No Disclosure without Consent'' rule 
of the Privacy Act.
    (1) 5 U.S.C. 552a(b)(1)--To DOD officers and employees who have a 
need for the record in the performance of their official duties. This is 
the ``official need to know concept.
    (2) 5 U.S.C. 552a(b)(2)--FOIA requires release of the information.
    (3) 5 U.S.C. 552a(b)(3)--The Routine Use Exception. The Routine Use 
must be published in the Federal Register and the purpose of the 
disclosure must be compatible with the purpose for the published Routine 
Use. The applicable Routine Uses for a particular record will be listed 
in the applicable Army Systems Notice.
    (4) 5 U.S.C. 552a(b)(4)--To the Bureau of the Census to plan or 
carry out a census or survey, or related activity pursuant to Title 13 
of the U.S. Code.
    (5) 5 U.S.C. 552a(b)(5)--To a recipient who has provided DA or DOD 
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) 5 U.S.C. 552a(b)(6)--To the National Archives and Records 
Administration as a record that has sufficient historical or other value 
to warrant its continued preservation by the U.S. Government, or for 
evaluation by the Archivist of the United States or the designee of the 
Archivist to determine whether the record has such value.
    Note: Records transferred to the Federal Records Centers for storage 
remain under the control of the DA and no accounting for disclosure is 
required under the Privacy Act.
    (7) 5 U.S.C. 552a(b)(7)--To another agency or 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 or the DOD specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought.
    (8) 5 U.S.C. 552a(b)(8)--To a person pursuant to a showing of 
compelling circumstances affecting the health or safety of an individual 
if upon such disclosure, notification is transmitted to the last known 
address of such individual.
    (9) 5 U.S.C. 552a(b)(9)--To either House of Congress, or, to the 
extent the matter is within its jurisdiction, any committee or 
subcommittee thereof, or any joint committee of Congress or subcommittee 
of any such joint committee. Requests from a Congressional member acting 
on behalf of a constituent are not included in this exception, but may 
be covered by a routine use exception to the Privacy Act (See applicable 
Army system of records notice).
    (10) 5 U.S.C. 552a(b)(10)--To the Comptroller General or authorized 
representatives, in the course of the performance of the duties of the 
Government Accountability Office.
    (11) 5 U.S.C. 552a(b)(11)--Pursuant to the order of a court of 
competent jurisdiction. The order must be signed by a judge.
    (12) 5 U.S.C. 552a(b)(12)--To a consumer reporting agency in 
accordance with section 3711(e) of Title 31 of the U.S. Code. The name, 
address, SSN, and 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. However, before doing so, agencies must 
complete a series of steps designed to validate the debt and to offer 
the individual an opportunity to repay it.
    (d) DOD Blanket Routine Uses. In addition to specific routine uses 
which are listed in the applicable Army system of record notices, 
certain ``Blanket Routine Uses'' apply to all DOD maintained systems of 
records. These are listed on the Defense Privacy Office's Web site 
http://www.defenselink.mil/privacy/. These ``Blanket Routine Uses'' are 
not specifically listed in each system of records notice as the specific 
routine uses are. The current DOD ``Blanket Routine Uses'' are as 
follows--

[[Page 43]]

    (1) Law Enforcement Routine Use. If a system of records maintained 
by a DOD component to carry out its functions indicates a violation or 
potential violation of law, whether civil, criminal or regulatory in 
nature, and whether arising by general statute or by regulation, rule, 
or order issued pursuant thereto, the relevant records in the system of 
records may be referred, as a routine use, to the agency concerned, 
whether federal, state, local, or foreign, charged with the 
responsibility of investigating or prosecuting such violation or charged 
with enforcing or implementing the statute, rule, regulation or order 
issued pursuant thereto.
    (2) Disclosure When Requesting Information Routine Use. A record 
from a system of records maintained by a DOD component may be disclosed 
as a routine use to a Federal, State, or local agency maintaining civil, 
criminal, or other relevant enforcement information or other pertinent 
information, such as current licenses, if necessary to obtain 
information relevant to a DOD Component 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 Routine Use. A record from a 
system of records maintained by a DOD component 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 Routine Use. Disclosure from 
a system of records maintained by a DOD component 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 Routine Use. Relevant information 
contained in all systems of records of DOD published on or before August 
22, 1975, may be disclosed to Office of Management and Budget in 
connection with the review of private relief legislation, as set forth 
in OMB Circular A-19, at any stage of the legislative coordination and 
clearance process as set forth in that Circular.
    (6) Disclosures Required by International Agreements Routine Use. A 
record from a system of records maintained by a DOD Component may be 
disclosed to foreign law enforcement, security, investigatory, or 
administrative authorities in order to comply 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 Routine Use. 
Any information normally contained in Internal Revenue Service Form W-2, 
which is maintained in a record from a system of records maintained by a 
DOD component, may be disclosed to state and local taxing authorities 
with which the Secretary of the Treasury has entered into agreements 
pursuant to 5 U.S.C. sections 5516, 5517, and 5520 and 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 is in accordance with Treasury Fiscal 
Requirements Manual Bulletin 76-07.
    (8) Disclosure to the Office of Personnel Management Routine Use. A 
record from a system of records subject to the Privacy Act and 
maintained by a DA activity may be disclosed to the Office of Personnel 
Management concerning information on pay and leave, benefits, retirement 
deductions, and any other information necessary for Office of Personnel 
Management to carry out its legally authorized Government-wide personnel 
management functions and studies.
    (9) Disclosure to the Department of Justice for Litigation Routine 
Use. A record from a system of records maintained by a DOD component may 
be disclosed as a routine use to any component of the Department of 
Justice for the purpose of representing the Department of Defense, or 
any officer, employee, or member of the Department in pending or 
potential litigation to which the record is pertinent.
    (10) Disclosure to Military Banking Facilities Overseas Routine Use. 
Information as to current military addresses and assignments may be 
provided to military banking facilities who provide banking services 
overseas and who are reimbursed by the Government for certain checking 
and loan losses. For personnel separated, discharged, or retired from 
the Armed forces, information as to last known residential or home of 
record address may be provided to the military banking facility upon 
certification by a banking facility officer that the facility has a 
returned or dishonored check negotiated by the individual or the 
individual has defaulted on a loan and that if restitution is not made 
by the individual, the U.S. Government will be liable for the losses the 
facility may incur.
    (11) Disclosure of Information to the General Services 
Administration Routine Use. A record from a system of records maintained 
by a DOD component may be disclosed as a routine use to the General 
Services Administration for the purpose of records management 
inspections conducted under authority of 44 U.S.C. Sections 2904 and 
2906.

[[Page 44]]

    (12) Disclosure of Information to National Archives and Records 
Administration Routine Use. A record from a system of records maintained 
by a DOD component may be disclosed as a routine use to NATIONAL 
ARCHIVES AND RECORDS ADMINISTRATION for the purpose of records 
management inspections conducted under authority of 44 U.S.C. sections 
2904 and 2906.
    (13) Disclosure to the Merit Systems Protection Board Routine Use. A 
record from a system of records maintained by a DOD component may be 
disclosed as a routine use to the Merit Systems Protection Board, 
including the Office of the Special Counsel for the purpose of 
litigation, including administrative procedures, appeals, special 
studies of the civil service and other merit systems, review of Office 
of Personnel Management or component rules and regulations, 
investigation of alleged or possible prohibited personnel practices, 
including administrative proceedings involving any individual subject of 
a DOD investigation, and such other functions, promulgated in 5 U.S.C. 
sections 1205 and 1206, or as may be authorized by law.
    (14) Counterintelligence Purposes Routine Use. A record from a 
system of records maintained by a DOD component may be disclosed as a 
routine use outside the DOD or the U.S. Government for the purpose of 
counterintelligence activities authorized by U.S. Law or Executive Order 
or for the purpose of enforcing laws, which protect the national 
security of the United States.



          Sec. Appendix E to Part 505--Litigation Status Sheet

    (a) Case Number: The number used by a DA activity for reference 
purposes; Requester;
    (b) Document Title or Description: Indicates the nature of the case, 
such as ``Denial of access'', ``Refusal to amend,'' ``Incorrect 
records'', or other violations of the Act (specify);
    (c) Litigation: Date complaint filed, Court, and Case File Number;
    (d) Defendants: DOD component and individual;
    (e) Remarks: Brief explanation of what the case is about;
    (f) Court action: Court's finding and disciplinary action (if 
applicable); and
    (g) Appeal (If applicable): Date complaint filed, court, case File 
Number, court's finding, disciplinary action (if applicable).



   Sec. Appendix F to Part 505--Example of a System of Records Notice

    (a) Additional information and guidance on Privacy Act system of 
records notices are found in DA PAM 25-51. The following elements 
comprise a Privacy Act system of records notice for publication in the 
Federal Register:
    (b) System Identifier: A0025-55 AHRC--DA FOIA/P Office assigns the 
notice number, for example, A0025-55, where ``A'' indicates ``Army,'' 
the next number represents the publication series number related to the 
subject matter, and the final letter group shows the system manager's 
command. In this case, it would be U.S. Army Human Resources Command.
    (c) System Name: Use a short, specific, plain language title that 
identifies the system's general purpose (limited to 55 characters).
    (d) System Location: Specify the address of the primary system and 
any decentralized elements, including automated data systems with a 
central computer facility and input or output terminals at separate 
locations. Use street address, 2-letter state abbreviations and 9-digit 
ZIP Codes. Spell out office names. Do not use office symbols.
    (e) Categories of Individuals: Describe the individuals covered by 
the system. Use non-technical, specific categories of individuals about 
whom the Department of Army keeps records. Do not use categories like 
''all Army personnel'' unless that is truly accurate.
    (f) Categories of Records in the System: Describe in clear, plain 
language, all categories of records in the system. List only documents 
actually kept in the system. Do not identify source documents that are 
used to collect data and then destroyed. Do not list form numbers.
    (g) Authority for Maintenance of the System: Cite the specific law 
or Executive Order that authorizes the maintenance of the system. Cite 
the DOD directive/instruction or Department of the Army Regulation(s) 
that authorizes the Privacy Act system of records. Always include titles 
with the citations. Note: Executive Order 9397 authorizes using the SSN 
as a personal identifier. Include this authority whenever the SSN is 
used to retrieve records.
    (h) Purpose(s): List the specific purposes for maintaining the 
system of records by the activity.
    (i) Routine Use(s): The blanket routine uses that appear at the 
beginning of each Component compilation apply to all systems notice 
unless the individual system notice specifically states that one or more 
of them do not apply to the system. Blanket Routine Uses are located at 
the beginning of the Component listing of systems notices and are not 
contained in individual system of records notices. However, specific 
routine uses are listed in each applicable system of records notice. 
List the specific activity to which the record may be released, for 
example ``To the Veterans Administration'' or ``To state and local 
health agencies''. For each routine user identified, include a statement 
as to the purpose or purposes for which the record is to release to that 
activity. Do not use general

[[Page 45]]

statements, such as ``To other federal agencies as required'' or ``To 
any other appropriate federal agency''.
    (j) Polices and Practices for Storing, Retrieving, Accessing, 
Retaining, and Disposing of Records in the System:
    (k) Storage: State the medium in which DA maintains the records; for 
example, in file folders, card files, microfiche, computer, or a 
combination of those methods. Storage does not refer to the storage 
container.
    (l) Retrievability: State how the Army retrieves the records; for 
example, by name, fingerprints or voiceprints.
    (m) Safeguards: Identify the system safeguards; for example, storage 
in safes, vaults, locked cabinets or rooms, use of guards, visitor 
controls, personnel screening, computer systems software, and so on. 
Describe safeguards fully without compromising system security.
    (n) Retention and Disposal. State how long AR 25-400-2 requires the 
activity to maintain the records. Indicate when or if the records may be 
transferred to a Federal Records Center and how long the record stays 
there. Specify when the Records Center sends the record to the National 
Archives or destroys it. Indicate how the records may be destroyed.
    (o) System Manager(s) and Address: List the position title and duty 
address of the system manager. For decentralized systems, show the 
locations, the position, or duty title of each category of officials 
responsible for any segment of the system.
    (p) Notification Procedures: List the title and duty address of the 
official authorized to tell requesters if their records are in the 
system. Specify the information a requester must submit; for example, 
full name, military status, SSN, date of birth, or proof of identity, 
and so on.
    (q) Record Access Procedures: Explain how individuals may arrange to 
access their records. Include the titles or categories of officials who 
may assist; for example, the system manager.
    (r) Contesting Records Procedures: The standard language to use is 
``The Army's rules for accessing records, and for contesting contents 
and appealing initial agency determinations are contained in Army 
Regulation 25-71; 32 CFR part 505; or may be obtained from the system 
manager.''
    (s) Record Source Categories: Show categories of individuals or 
other information sources for the system. Do not list confidential 
sources protected by 5 U.S.C. 552a(k)(2), (k)(5), or (k)(7).
    (t) Exemptions Claimed for the System: Specifically list any 
approved exemption including the subsection in the Act. When a system 
has no approved exemption, write ``none'' under this heading.



  Sec. Appendix G to Part 505--Management Control Evaluation Checklist

    (a) Function. The function covered by this checklist is DA Privacy 
Act Program.
    (b) Purpose. The purpose of this checklist is to assist Denial 
Authorities and Activity Program Coordinators in evaluating the key 
management controls listed below. This checklist is not intended to 
cover all controls.
    (c) Instructions. Answer should be based on the actual testing of 
key management controls (e.g., document analysis, direct observation, 
sampling, simulation, other). Answers that indicate deficiencies should 
be explained and corrective action indicated in supporting 
documentation. These management controls must be evaluated at least once 
every five years. Certificate of this evaluation has been conducted and 
should be accomplished on DA Form 11-2-R (Management Control Evaluation 
Certification Statement).

                             Test Questions

    a. Is a Privacy Act Program established and implemented in your 
organization?
    b. Is an individual appointed to implement the Privacy Act 
requirements?
    c. Are provisions of AR 25-71 concerning protection of OPSEC 
sensitive information regularly brought to the attention of managers 
responsible for responding to Privacy Act requests and those responsible 
for control of the Army's records?
    d. When more than twenty working days are required to respond, is 
the Privacy Act requester informed, explaining the circumstance 
requiring the delay and provided an appropriate date for completion.
    e. Are Accounting Disclosures Logs being maintained?
    Comments: Assist in making this a better tool for evaluating 
management controls. Submit comments to the Department of Army, Freedom 
of Information and Privacy Division.



                Sec. Appendix H to Part 505--Definitions

                                Function

    (a) Access. Review or copying a record or parts thereof contained in 
a Privacy Act system of records by an individual.
    (b) Agency. For the purposes of disclosing records subject to the 
Privacy Act, Components of the Department of Defense are considered a 
single agency. For other purposes including access, amendment, appeals 
from denials of access or amendment, exempting systems of records, and 
recordkeeping for release to non-DOD agencies, the Department of the 
Army is considered its own agency.
    (c) Amendment. The process of adding, deleting, or changing 
information in a system

[[Page 46]]

of records to make the data accurate, relevant, timely, or complete.
    (d) Computer Matching Agreement. An agreement to conduct a 
computerized comparison of two or more automated systems of records to 
verify eligibility for payments under Federal benefit programs or to 
recover delinquent debts for these programs.
    (e) Confidential Source. A person or organization who has furnished 
information to the Federal Government under an express promise that the 
person's or the organization's identity would be held in confidence or 
under an implied promise of such confidentiality if this implied promise 
was made before September 27, 1975.
    (f) Cookie. A mechanism that allows the server to store its own 
information about a user on the user's own computer. Cookies are 
embedded in the HTML information flowing back and forth between the 
user's computer and the servers. They allow user-side customization of 
Web information. Normally, cookies will expire after a single session.
    (g) Defense Data Integrity Board. The Board oversees and coordinates 
all computer matching programs involving personal records contained in 
systems of records maintained by the DOD Component; reviews and approves 
all computer matching agreements between the Department of Defense (DOD) 
and other Federal, State, and local governmental agencies, as well as 
memoranda of understanding when the match is internal to the DOD.
    (h) Disclosure. The transfer of any personal information from a 
Privacy Act system of records by any means of communication (such as 
oral, written, electronic mechanical, or actual review) to any persons, 
private entity, or government agency, other than the subject of the 
record, the subject's designated agent or the subject's legal guardian. 
Within the context of the Privacy Act and this part, this term applies 
only to personal information that is a part of a Privacy Act system of 
records.
    (i) Deceased Individuals. The Privacy Act confers no rights on 
deceased persons, nor may their next-of-kin exercise any rights for 
them. However, family members of deceased individuals have their own 
privacy right in particularly sensitive, graphic, personal details about 
the circumstances surrounding an individual's death. This information 
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 minds. Because surviving family members use the deceased's Social 
Security Number to obtain benefits, DA personnel should continue to 
protect the SSN of deceased individuals.
    (j) Individual. A living person who is a citizen of the United 
States or an alien lawfully admitted for permanent residence. The parent 
or legal guardian of a minor also may act on behalf of an individual. 
Members of the United States Armed Forces are individuals. Corporations, 
partnerships, sole proprietorships, professional groups, businesses, 
whether incorporated or unincorporated, and other commercial entities 
are not individuals.
    (k) Individual Access. The subject of a Privacy Act file or his or 
her designated agent or legal guardian has access to information about 
them contained in the Privacy Act file. The term individual generally 
does not embrace a person acting on behalf of a commercial entity (for 
example, sole proprietorship or partnership).
    (l) Denial Authority (formerly Access and Amendment Refusal 
Authority). The Army Staff agency head or major Army commander 
designated authority by this part to deny access to, or refuse amendment 
of, records in his or her assigned area or functional specialization.
    (m) Maintain. Includes keep, collect, use or disseminate.
    (n) Members of the Public. Individuals or parties acting in a 
private capacity.
    (o) Minor. An individual under 18 years of age, who is not married 
and who is not a member of the Department of the Army.
    (p) Official Use. Within the context of this part, this term is used 
when Department of the Army officials and employees have demonstrated a 
need for the use of any record or the information contained therein in 
the performance of their official duties.
    (q) Personal Information. Information about an individual that 
identifies, relates, or is unique to, or describes him or her, e.g., a 
social security number, age, military rank, civilian grade, marital 
status, race, salary, home/office phone numbers, etc.
    (r) Persistent cookies. Cookies that can be used to track users over 
time and across different Web sites to collect personal information.
    (s) Personal Identifier. A name, number, or symbol that is unique to 
an individual, usually the person's name or SSN.
    (t) System of Records. A group of records under the control of the 
DA from which information is filed and retrieved by individuals' names 
or other personal identifiers assigned to the individuals. System 
notices for all systems of records must be published in the Federal 
Register. A grouping of records arranged chronologically or subjectively 
that are not retrieved by individuals' names or identifiers is not a 
Privacy Act system of records, even though individual information could 
be retrieved by individuals' names or personal identifiers, such as 
through a paper-by-paper search.

[[Page 47]]

    (u) Privacy Advisory. A statement required when soliciting 
personally identifying information by a Department of the Army Web site 
and the information is not maintained in a system of records. The 
Privacy Advisory informs the individual why the information is being 
solicited and how it will be used.
    (v) Privacy Impact Assessment (PIA). An analysis, which considers 
information sensitivity, vulnerability, and cost to a computer facility 
or word processing center in safeguarding personal information processed 
or stored in the facility.
    (w) Privacy Act (PA) Request. A request from an individual for 
information about the existence of, access to, or amendment of records 
pertaining to that individual located in a Privacy Act system of 
records. The request must cite or implicitly refer to the Privacy Act of 
1974.
    (x) Protected Personal Information. Information about an individual 
that identifies, relates to, is unique to, or describes him or her 
(e.g., home address, date of birth, social security number, credit card, 
or charge card account, etc.).
    (y) Records. Any item, collection, or grouping of information, 
whatever the storage media (e.g., paper, electronic, etc), about an 
individual that is maintained by a DOD Component, including but not 
limited to, his or her education, financial transactions, medical 
history, criminal or employment history and that contains his or her 
name, or the identifying number, symbol, or other identifying particular 
assigned to the individual, such as a finger or voice print or a 
photograph.
    (z) Records Maintenance and Use. Any action involving the storage, 
retrieval, and handling of records kept in offices by or for the agency.
    (aa) Review Authority. An official charged with the responsibility 
to rule on administrative appeals of initial denials of requests for 
notification, access, or amendment of records. Additionally, the Office 
of Personnel Management is the review authority for civilian official 
personnel folders or records contained in any other OMP record.
    (bb) 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. A 
routine use must be included in the notice for the Privacy Act system of 
records published in the Federal Register.
    (cc) Statistical record. A record in a system of records maintained 
for statistical research or reporting purposes and not used in whole or 
in part in making determinations about specific individuals.
    (dd) System Manager. An official who has overall responsibility for 
policies and procedures for operating and safeguarding a Privacy Act 
system of records.
    (ee) Third-party cookies. Cookies placed on a user's hard drive by 
Internet advertising networks. The most common third-party cookies are 
placed by the various companies that serve the banner ads that appear 
across many Web sites.
    (ff) Working Days. Days excluding Saturday, Sunday, and legal 
holidays.



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.

[[Page 48]]



                         Subpart A_Introduction



Sec. 507.1  Purpose.

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



Sec. 507.2  References.

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



Sec. 507.3  Explanation of abbreviations and terms.

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

[[Page 49]]

for the incorporation of certain Air Force badges and rank insignia 
designs in commercial items.
    (e) Commander, Air Force Historical Research Agency (AFHRA/RSO), 
Maxwell AFB, AL 36112-6424. The Commander, AFHRA/RSO, is responsible for 
granting permission for use of the Air Force seal, coat of arms, and 
crest.
    (f) Commanders. Commanders are responsible for purchasing heraldic 
items that have been produced by manufacturers certified by TIOH. 
Commanders will ensure that only those heraldic items that are of 
quality and design covered in the specification and that have been 
produced by certified manufacturers are worn by personnel under their 
command.



Sec. 507.5  Statutory authority.

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



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



Sec. 507.6  Authority to manufacture.

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

[[Page 50]]

    (9) Service ribbons for decorations, service medals, and unit 
awards.
    (10) Rosettes.
    (11) Army emblem and branch of service plaques.
    (b) Variations from the prescribed specifications for the items 
listed in paragraph (a) of this section are not permitted without prior 
approval, in writing, by TIOH.



Sec. 507.9  Articles not authorized for manufacture or sale.

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



              Subpart C_Commercial Use of Heraldic Designs



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

commercial articles.

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

[[Page 51]]



Sec. 507.11  Reproduction of designs.

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



Sec. 507.12  Possession and wearing.

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

[[Page 52]]

and sale of these items is not authorized until the manufacturer 
receives a certification letter from TIOH.



Sec. 507.16  Violations and penalties.

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



Sec. 507.17  Procurement and wear of heraldic items.

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



Sec. 507.18  Processing complaints of alleged breach of policies.

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

[[Page 53]]

    (2) A hearing examiner will be appointed by appropriate orders. The 
examiner may be either a commissioned officer or a civilian employee 
above the grade of GS-7.
    (3) The specific written allegations, together with other pertinent 
material, will be transmitted to the hearing examiner for introduction 
as evidence at the hearing.
    (4) Manufacturers may be suspended for failure to return a loaned 
tool without referral to a hearing specified in paragraph (c)(1) of this 
section; however, the manufacturer will be advised, in writing, that 
tools are overdue and suspension will take effect if not returned within 
the specified time.
    (d) Notification to the manufacturer by examiner. Within a 7 day 
period following receipt by the examiner of the allegations and other 
pertinent material, the examiner will transmit a registered letter of 
notification to the manufacturer informing him or her of the following:
    (1) Specific allegations.
    (2) Directive of the Director requiring the holding of a public 
hearing on the allegations.
    (3) Examiner's decision to hold the public hearing at a specific 
time, date, and place that will be not earlier than 30 days from the 
date of the letter of notification.
    (4) Ultimate authority of the Director to suspend or revoke the 
certificate of authority should the record developed at the hearing so 
warrant.
    (5) Right to--
    (i) A full and fair public hearing.
    (ii) Be represented by counsel at the hearing.
    (iii) Request a change in the date, time, or place of the hearing 
for purposes of having reasonable time in which to prepare the case.
    (iv) Submit evidence and present witnesses in his or her own behalf.
    (v) Obtain, upon written request filed before the commencement of 
the hearing, at no cost, a verbatim transcript of the proceedings.
    (e) Public hearing by examiner. (1) At the time, date, and place 
designated in accordance with paragraph (d) (3) of 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

[[Page 54]]

whether the use of an Army band at a public gathering is prohibited by 
this section is delegated to major commanders.
    (b) Suitability. Commanders authorizing participation by Army bands 
(except the U.S. Army Band and the U.S. Army Field Band) in their 
official capacties and in the performance of official duties will be 
guided by the following conditions of suitability:
    (1) When participation is an appropriate part of official occasions 
attended by the senior officers of the Government or the Department of 
Defense in their official capacities and in the performance of official 
duties.
    (2) For parades and ceremonies which are incident to gatherings of 
personnel of the Armed Forces, veterans, and patriotic organizations.
    (3) At public rallies and parades intended to stimulate national 
interest in the Armed Forces and/or to further the community relation 
program.
    (4) For fund drives for officially recognized Armed Forces relief 
agencies or charitable organizations such as the Red Cross when the 
proceeds are donated to such agencies.
    (5) For athletic contests in which one or more Armed Forces teams 
are participating.
    (6) In connection with recruiting activities for the Armed Forces.
    (7) At official occasions and free social and entertainment 
activities held on or off Armed Forces installations, provided that such 
free social entertainment activities are conducted exclusively for the 
benefit of personnel of the Armed Forces and their guests.

[25 FR 10700, Nov. 9, 1960]



PART 510_CHAPLAINS--Table of Contents




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



Sec. 510.1  Private ministrations, sacraments, and ordinances.

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

[[Page 55]]

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

[[Page 56]]

    (i) Making the failure a matter of permanent record.
    (ii) Denial of reenlistment (enlisted personnel).
    (iii) Administrative separation from the Service.
    (iv) Punishment under the Uniform Code of Military Justice (UCMJ). 
When proper, such misconduct may be charged under articles 92, 123, 133, 
or 134 of the UCMJ.
    (8) Checks that are dishonored for any reason remain proof of 
indebtedness until--
    (i) Made good.
    (ii) Proven to be the error of the financial institution on which 
drawn, or the error of any other person or institution; such action then 
absolves the soldier of fault. (See Sec. 513.2(c).)
    (9) When necessary, commanders and soldiers are urged to seek help 
from the SJA.
    (f) Banks and credit unions. (1) Banks and credit unions located on 
military bases must apply Department of Defense (DOD) Standards of 
Fairness (app B) before making loans or credit agreements. Banks and 
credit unions that do not meet this requirement will be denied help in 
processing debt complaints.
    (2) If soldiers are referred to off-base branches of an on-post bank 
or credit union, the branches also must comply with the Standards of 
Fairness before making loans or credit agreements.
    (3) Interest rates and service charges for loans made by oversea 
military banking facilities are set by DOD.
    (g) Fair Debt Collection Practices Act (section 1692, title 15, 
United States Code (15 U.S.C. 1692)). (1) A debt collector may not 
contact any person other than the soldier, his or her lawyer or legal 
counsel, or the creditor about any debt collection. The debt collector, 
however, may contact the employer if he or she has a written and signed 
consent from the soldier, or a court order permitting contact. The 
written consent must include the debt collector's name. It is illegal 
for debt collectors to use another name when collecting debts.
    (2) Debt collectors who have obtained the needed written consent or 
court 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

[[Page 57]]

violate the Fair Debt Collection Practices Act (Sec. 513.1(g)).

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



Sec. 513.2  Administrative procedures for processing complaints.

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

[[Page 58]]

    (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 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.

[[Page 59]]

    (ii) Of the corrective action taken (to include the amounts and 
dates payments will be made).
    (iii) Of the method of payment (for example, personal check).
    (iv) Whether the soldier allowed or forbade release of the 
information given. (See DA Form 4817-R.)
    (v) Whether the soldier is following the terms of a court order.
    (vi) Whether the soldier's actions follow Army policy as stated in 
this regulation.
    (vii) In the reply, include your name, unit address, and your 
automatic voice network (AUTOVON) number. If no AUTOVON Number is 
available, include a commercial or other number where the unit can be 
reached.
    (5) Return to USACFSC or DA officials inquiries received after the 
soldier has been transferred. Include a copy of his or her permanent 
change of station orders.

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



Sec. 513.3  Administrative and punitive actions.

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

[[Page 60]]

    (6) Full disclosure information shows what the soldier should know 
about contract terms.
    (7) The Fair Debt Collection Practices Act contains other conditions 
a creditor must meet. (See Sec. 513.1(g)).
    (b) State laws. Florida, Louisiana, Maryland, Massachusetts, New 
York, North Carolina, and Wisconsin have passed laws that forbid 
creditors from contacting employers. This includes commanders, unless 
certain conditions are met. These conditions are the reduction of a debt 
to court judgment or the written permission of a debtor. The judgment 
must conform to the Soldiers' and Sailors' Civil Relief Act of 1940, as 
amended (50 U.S.C. app, section 501 et seq., (1970)) if applicable. (See 
DA Pam 27-166.) Other States may enact similar laws; if they do, the 
same conditions will apply. Creditors wanting to make use of the debt 
processing privilege must first certify their compliance with the 
relevant State's law about contact with an employer. These laws, 
however, do not apply if the debtor is located in a State that has not 
passed such a law.
    (c) Debt processing. (1) Creditors, other than private parties 
described in 513.4(f)(1), must send--
    (i) A signed copy of the Certificate of Compliance with DOD 
Standards of Fairness (app B) showing compliance with one of the 
following:
    (A) The Truth-in-Lending Act.
    (B) Federal Reserve Board Regulation Z.
    (C) State regulations.
    (ii) A true copy of the signed contract.
    (iii) The general and specific disclosure information given the 
soldier before signing the contract.
    (iv) A copy of a judgment or written permission from the soldier 
allowing the creditor to contact his or her employer about the debt, if 
applicable. (See Sec. 513.4(b)).
    (v) Photocopies of actual correspondence or documentary proof 
showing that every effort has been made to get payment by direct contact 
with the soldier. The creditor must give the soldier a chance to answer 
each inquiry. (Forty-five days for those in the contiguous 48 States and 
the District of Columbia; 60 days for all others.)
    (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.

[[Page 61]]

    (d) Debt complaints returned to creditors without action. Requests 
for help in processing debt complaints will be returned without action 
with an explanation if--
    (1) Creditors did not enclose the following:
    (i) Documents showing compliance with the Truth-in-Lending Act, 
Federal Reserve Board Regulation Z, or State regulation.
    (ii) Signed copies of the Certificate of Compliance with DOD 
Standards of Fairness.
    (iii) A completed copy of form with the Full Disclosure Information. 
(See Sec. 513.4(a)(6).)
    (iv) Signed copies of the contract.
    (v) Legible copies of actual correspondence or documentary proof 
showing that every effort has been made to get the payment by direct 
contact with the soldier. (See Sec. 513.4(c)(1)(v).)
    (2) The soldier is located in a State whose laws forbid creditors 
from contacting employers.
    (3) The claim is obviously false or misleading.
    (4) The finance charge does not conform to the State law where the 
contract is signed.
    (5) A U.S. company operating overseas exceeds the lowest interest 
rate of the State or States where chartered or doing business in the 
United States.
    (6) The contract or loan agreement provides that the debtor must pay 
the creditor's attorney fees, unless the following limitations in Sec. 
513.4(d)(6) (i) through (iii) are included. No attorney's fee may be 
charged for services done by a salaried employee of the creditor.
    (i) The fees will have to be paid only in the event of a default by 
the soldier.
    (ii) The fees will have to be paid only if a lawsuit is filed.
    (iii) The fees will not exceed 20 percent of the amount found due.
    (7) A penalty for prepayment has been charged.
    (8) A charge has been made for an insurance premium without 
satisfactory proof of--
    (i) A policy or insurance certificate having been issued.
    (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,

[[Page 62]]

furniture, appliances) on a one-time basis.
    (2) Claims from companies or individuals giving services in which 
credit is given only to help the soldier (for example, utilities, milk, 
laundry, medical, and related services).
    (3) Claims by endorsers, comakers, or lenders who intend only to 
help the soldier in getting credit. These claims, however, may not 
benefit the above through receipt of interest or otherwise.
    (4) Contract for the purchase, sale, or rental of real estate.
    (5) Claims in which the total unpaid amount does not exceed $50.
    (6) Claims based on a revolving or open-end credit account. The 
account must show--
    (i) The periodic interest rate and the equivalent annual rate.
    (ii) The balance to which the interest is applied to compute the 
charge.
    (7) Claims as security liens on real property (for example, a 
house). This does not include improvements or repairs.
    (8) Attorneys representing parties under Sec. 513.4(f) (1) through 
(7).



Sec. 513.5  Procedures governing nonactive duty or discharged personnel.

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

[[Page 63]]

    (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.



                 Sec. 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)).

                             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.

[[Page 64]]

                              PS Form 3811

    Return Receipt, Registered, Insured, and Certified Mail.



           Sec. Appendix B to Part 513--Standards of Fairness

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



                  Sec. 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

[[Page 65]]

MHD: medical holding detachment
SJA: staff judge advocate
SSN: social security number
UCMJ: Uniform Code of Military Justice
USACFSC: U.S. Army Community and Family Support Center
USAEREC: U.S. Army Enlisted Records and Evaluation Center
USAFAC: U.S. Army Finance and Accounting Center
USAR: U.S. Army Reserve
U.S.C. U.S. Code

Section II--Terms

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

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



PART 516_LITIGATION--Table of Contents




                            Subpart A_General

Sec.
516.1 Purpose.
516.2 References.
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.

[[Page 66]]

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

                   Subpart F_Environmental Litigation

516.38 Scope.
516.39 Duties and procedures.

   Subpart G_Release of Information and Appearance of Witnesses Scope

516.40 General.
516.41 Policy.
516.42 Reference to HQDA.

            Release of Records in Connection With Litigation

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

             DA Personnel as Witnesses in Private Litigation

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

          Litigation in Which the United States Has an Interest

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

                Status, Travel, and Expenses of Witnesses

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

         Subpart H_Remedies in Procurement Fraud and Corruption

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

        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.

[[Page 67]]

    (b) This regulation does not apply to DA or DOD proceedings such as 
courts-martial or administrative boards.



Sec. 516.2  References.

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



Sec. 516.3  Explanation of abbreviations and terms.

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



Sec. 516.4  Responsibilities.

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

[[Page 68]]

    (h) Chief, Contract Law Division, OTJAG. The Chief, Contract Law 
Division, attorneys assigned to the Contract Law Division, and other 
attorneys designated by the Chief, Contract Law Division, in litigation 
involving taxation, will represent DA in negotiation, administrative 
proceedings, and litigation, and maintain liaison with DOJ and other 
governmental authorities.
    (i) Legal Representatives of the Chief of Engineers. The Office of 
Chief Counsel, attorneys assigned thereto, and other attorneys 
designated by the Chief Counsel will maintain direct liaison with DOJ 
and represent DA in litigation and administrative proceedings a rising 
from the navigation, civil works, Clean Water Act 404 permit authority, 
environmental response activities, and real property functions of the 
U.S. Army Corps of Engineers.
    (j) Chief Trial Attorney, Contract Appeals Division, USALSA. The 
Chief Trial Attorney, attorneys assigned to the Contract Appeals 
Division, and attorneys designated by the Chief Trial Attorney will 
represent the government before the Armed Services Board of Contract 
Appeals and the General Services Board of Contract Appeals. They will 
maintain direct liaison with DOJ concerning appeals from ASBCA and GSBCA 
decisions. The Chief Trial Attorney has designated COE attorneys to act 
as trial attorneys in connection with COE contract appeals.
    (k) Chief, Regulatory Law Office, USALSA. The Chief, Regulatory Law 
Office, attorneys assigned to the Regulatory Law Office, and other 
attorneys designated by the Chief, will represent DA consumer interests 
in regulatory matters before state and Federal administrative agencies 
and commissions, including but not limited to proceedings involving 
rates and conditions for the purchase of services for communications 
(except long-distance telephone), transportation, and utilities (gas, 
electric, water and sewer). They will maintain direct liaison with DOJ 
for communications, transportation, and utilities litigation.
    (l) Chief, Intellectual Property Law Division, USALSA. The Chief, 
Intellectual Property Law Division, and the 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

[[Page 69]]

Special Assistant U.S. Attorneys. (See subpart G of this part). The 
Chief will coordinate with DOJ and other governmental agencies 
concerning the overall conduct of these prosecutions.

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



Sec. 516.5  Restriction on contact with DOJ.

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

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



Sec. 516.6  Appearance as counsel.

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

[[Page 70]]



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

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

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



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

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

[[Page 71]]

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



Sec. 516.13  Assistance in serving process overseas.

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

[[Page 72]]

units, installations, or organizations will ensure reports required by 
this section are promptly submitted.
    (c) Reports to HQDA. Reports required by this regulation will be 
made telephonically or mailed to the responsible organization at DA. 
Appendix B to this part contains mailing addresses for these offices. 
Except in the situations described below, reports required by this 
chapter will be made to Litigation Division:
    (1) Actual or potential litigation (or administrative infringement 
claims) involving patents, copyrights, or trademarks will be made to 
Intellectual Property Law Division.
    (2) Reports of pending or prospective litigation involving taxation 
will be made to Contract Law Division.
    (3) Communications, transportation, and utility services reports 
will be made to Regulatory Law Office.
    (4) Reports involving environmental and natural resource litigation 
and administrative proceedings will be made to Environmental Law 
Division.
    (5) Potential civil recovery reports in cases of procurement fraud 
and corruption will be made to Procurement Fraud Division.
    (6) Reports involving the felony prosecution program and magistrate 
court prosecutions will be made to Criminal Law Division, OTJAG.
    (7) Cases before the Armed Services Board of Contract Appeals and 
the General Services Board of Contract Appeals will be made to Contract 
Appeals Division.
    (d) Classified information. Information required by this regulation 
will be submitted in an unclassified form if possible. If downgrading or 
declassification is not feasible, the classified material should be 
separated from the report and forwarded under separate cover.
    (e) Other reporting requirements. Reports required by this chapter 
are in addition to and do not satisfy any other reporting requirement, 
such as the following: notifying the FBI of offenses pursuant to AR 27-
10; submitting serious incident reports pursuant to AR 190-40; reporting 
procurement 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.

[[Page 73]]

A telephonic report to HQDA should include the following:
    (1) Title or style of the proceeding.
    (2) Full names and addresses of the parties.
    (3) Tribunal in which the action is filed, date filed, docket 
number, when and on whom service of process was made, and date by which 
pleading or response is required.
    (4) Nature of the action, amount claimed or relief sought.
    (5) Reasons for immediate action.
    (b) Transmission of process, pleadings, and related papers. Unless 
instructed otherwise by HQDA, the SJA or legal adviser will FAX or mail 
HQDA a copy of all process, pleadings, and related papers. Use of 
express mail or overnight delivery service is authorized.
    (c) Notice to U.S. Attorney. If the legal proceeding is instituted 
in the United States, the SJA or legal adviser, unless instructed 
otherwise by HQDA, will notify the appropriate U.S. Attorney and render 
assistance as required.



Sec. 516.18  Litigation alleging individual liability.

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



Sec. 516.19  Injunctive relief.

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

[[Page 74]]

that custody or require that petitioner be brought before the state 
court. A deserter, apprehended by any civil officer having authority to 
apprehend offenders under the laws of the United States or of any state, 
district, territory, or possession of the United States, is in custody 
by authority of the United States. If a writ of habeas corpus is issued 
by a state court, the SJA or legal adviser will seek guidance from 
Litigation Division.
    (e) Foreign court orders. A foreign court should not inquire into 
the legality of restraint of a person held by U.S. military authority. 
If a foreign court issues any process in the nature of a writ of habeas 
corpus, the SJA or legal adviser will immediately report the matter to 
the appropriate U.S. forces commander and to Litigation Division.



Sec. 516.21  Litigation against government contractors.

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

[[Page 75]]

    (c) Annexation of Army lands. (AR 405-25).
    (d) Communications, transportation, and utility services 
administrative proceedings. Any contracting officer or other Army 
official responsible for the acquisition of communications, 
transportation, utilities (gas, electric, water and sewer), or military 
mail services, who becomes aware of any action or proceeding of interest 
to the Army, will promptly refer the matter to the SJA or legal adviser, 
who will take the actions prescribed in Sec. 516.17 of this part. 
Examples of actions requiring referral follow: new or amended rates, 
regulations, or conditions of service; applications for authority to 
discontinue or initiate service; changes in electromagnetic patterns 
causing adverse communications interference; or, zoning proposals 
affecting historic or aesthetic preservation. In addition, the SJA or 
legal adviser will transmit the following to Regulatory Law Office:
    (1) The names and addresses of any parties intervening and the 
substance of their positions.
    (2) Names of government users affected by any change.
    (3) Copy of any proposed rates, rules, or regulations.
    (4) A recommendation whether the Army should intervene in the action 
or proceeding. If intervention is recommended, provide a memorandum to 
support the recommendation.
    (e) Legal proceedings overseas. Foreign communications, 
transportation, and utility service proceedings need not be reported. In 
other legal proceedings instituted in a foreign country, the SJA or 
legal adviser will take the actions prescribed in Sec. 516.17 of this 
part.
    (f) Maritime claims. Admiralty and maritime claims within the 
purview of Chapter 8, AR 27-20, which have been investigated and 
processed under AR 55-19 or other applicable regulations, will be 
referred to USARCS.
    (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

[[Page 76]]

``core information'' required by Executive Order No. 12778 (Civil 
Justice Reform). Finally, summarize the information or potential 
testimony that each person listed could provide.
    (f) Exhibits. (1) Attach a copy of all relevant documents. This is 
``core information'' required by Executive Order No. 12778 (Civil 
Justice Reform). Unless otherwise directed by HQDA, each exhibit should 
be tabbed and internally paginated. References to exhibits in the 
litigation report should be to page numbers of particular exhibits.
    (2) Copies of relevant reports of claims officers, investigating 
officers, boards or similar data should be attached, although such 
reports will not obviate the requirement for preparation of a complete 
litigation report.
    (3) Prepare an index of tabs and exhibits.
    (4) Where a relevant document has been released pursuant to a FOIA 
request, provide a copy of the response, or otherwise identify the 
requestor and the records released.
    (g) Distribution and number of copies. Unless HQDA directs 
otherwise, SJAs or legal advisers will mail (first class) an original 
and one copy of the litigation report to the responsible HQDA office 
(See Sec. 516.15 of this part) and one copy to the U.S. Attorney's 
Office handling the case. If possible, record the litigation report onto 
a magnetic diskette, using either WordPerfect, Enable, or ACSII, and 
send it to Litigation Division.



Sec. 516.24  Preservation of evidence.

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



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)

[[Page 77]]



                     Subpart D_Individual Liability



Sec. 516.27  Scope.

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



Sec. 516.28  Policy.

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



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.

[[Page 78]]

    (3) Advise the individual defendant of the rights and conditions set 
out in 28 CFR 50.15, which include the following:
    (i) His right to request representation by a DOJ attorney and, in 
appropriate cases, certification that he was acting within the scope of 
employment. (See 28 U.S.C. 2679; 28 CFR 50.15).
    (ii) The right to request private counsel at government expense, 
subject to the availability of funds. (See 28 CFR 50.16).
    (iii) That the United States is not obligated to pay or indemnify 
defendant for any judgment rendered against him in his individual 
capacity.
    (4) If the defendant desires certification or DOJ representation, 
have him sign a request. (See figure D-1, appendix G, of this part). 
Obtain a signed scope of employment statement from the defendant's 
supervisor. (Figure D-2, appendix G, of this part).
    (5) Prepare a report with, at a minimum, the following information: 
facts surrounding the incident for which defendant is being sued and 
those relating to scope of employment; the SJA's or legal adviser's 
conclusions concerning scope of employment; and, a recommendation 
whether certification by the Attorney General or representation by a DOJ 
attorney should be granted.
    (6) In cases involving National Guard personnel, address also the 
following: whether defendant was acting in a state (Title 32 U.S.C.) or 
Federal (Title 10 U.S.C.) capacity during relevant periods (include 
orders); if defendant was acting under state authority, is it 
nevertheless in the interest of the United States to represent the 
individual; any impact on policies or practices of DA, the National 
Guard Bureau, or DOD; whether the relief requested can be granted only 
by a Federal officer or agency; and, whether Federal law or 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-

[[Page 79]]

50 (Status of Forces Policies, Procedures, and Information). Under the 
authority of 10 U.S.C. 1037, soldiers, as well as employees or those 
accompanying the armed forces overseas, may be granted individual 
counsel in civil and criminal proceedings, under the criteria of AR 27-
50.



Sec. 516.32  Requests for indemnification.

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

[[Page 80]]

    (b) Duties and procedures. In accordance with Chapter 14, AR 27-20, 
Commander, USARCS, has supervisory responsibility over the 
administrative processing of property and medical care claims by RJAs. 
The Commander, U.S. Army Health Services Command (HSC), has supervisory 
responsibility over the Third Party Collection Program (TPCP). The HSC 
TPCP Implementation Plan effects DOD Instruction 6010.15 and establishes 
procedures for processing TPC claims. Litigation Division, in 
conjunction with DOJ and U.S. Attorneys, is responsible for pursuing, 
through litigation, claims not resolved administratively. DOJ is 
ultimately responsible for initiating litigation for the United States. 
(28 U.S.C. 515).
    (c) Assertion of claims on behalf of the United States by private 
attorneys. The Army incurs potentially recoverable expenses when it 
provides medical care to soldiers or dependents injured by tortfeasors 
(for example, a soldier is hospitalized after an automobile accident). 
When injured personnel employ a private attorney to sue the tortfeasor, 
it may be in the Government's best interests to enter into an agreement 
with the private attorney to include the Army's medical care claim.
    (d) Statute of limitations. There is a three year statute of 
limitations for actions in favor of the U.S. for money damages founded 
upon tort. (28 U.S.C. 2415(b)). Limitations periods can vary, however, 
depending upon the theory of liability and the jurisdiction involved. 
RJAs must be alert to the applicable period of limitations. A case 
referred for litigation should arrive at Litigation Division at least 6 
months before the expiration of the limitations period.
    (e) Reporting of recoveries. Amounts recovered through litigation 
will be reported to USARCS by Tort Branch, Litigation Division, or, 
where referred 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.

[[Page 81]]

    (b) Transmittal letter. The letter of transmittal referring the 
claim for litigation should briefly summarize the facts giving rise to 
the claim and the collection actions previously taken by the Army and 
the injured party.

                        Assertion of Other Claims



Sec. 516.36  Referral to Litigation Division.

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



Sec. 516.37  Proceedings to repossess government real property or quarters or 

to collect delinquent rent.

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

[[Page 82]]

Water Act section 404 (See 33 U.S.C. 1344) permit authority of COE over 
the discharge of dredged or fill material into waters of the United 
States.
    (d) Enforcement. Environmental Law Division will conduct direct 
liaison with DOJ and represent DA in all civil litigation involving 
citizen or State enforcement of applicable State, Federal and local 
requirements respecting the control or abatement of pollution and 
involving the management of hazardous wastes, with respect to the 
missions and functions of, and Federal facilities owned or controlled 
by, DA, except for civil works facilities.
    (e) Environmental response--(1) Except as provided in (a)(2) of this 
section. Environmental Law Division will conduct direct liaison with DOJ 
and represent DA in all civil litigation seeking declaratory or 
injunctive relief or involving claims of Army liability for the costs of 
response at Federal facilities currently owned or controlled by DA and 
at other sites where the Army is a potentially responsible party.
    (2) The Chief Counsel, COE, will conduct direct liaison with DOJ and 
represent DA in all civil litigation seeking declaratory or injunctive 
relief or involving claims of Army liability for the costs of response 
at civil works facilities, at former defense sites or at other sites 
where the Army is a potentially responsible party due to the response 
actions of the COE or its contractors.
    (f) Fish and wildlife, and plants. Environmental Law Division will 
conduct direct liaison with DOJ and represent DA in civil litigation 
involving citizen or State enforcement of applicable State, Federal, and 
local laws governing conservation of plant, fish, and wildlife resources 
at Federal facilities 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,

[[Page 83]]

civil cases, criminal proceedings, private litigation, or litigation in 
which the United States has an interest.
    (b) Definitions. (See appendix F to this part).



Sec. 516.41  Policy.

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

[[Page 84]]

of IG records and information. No DA personnel will release IG records 
or disclose information obtained through performance of IG duties 
without the approval of The Secretary of the Army, The Inspector 
General, TIG Legal Advisor, or Chief, Litigation Division. When IG 
personnel receive a subpoena, court order, request for attendance at a 
judicial or quasi-judicial proceeding, or a request for an interview 
which the IG reasonably believes is related to actual or potential 
litigation concerning IG records or related information, they should 
immediately notify the Inspector General Legal Adviser or the Chief, 
Litigation Division. IG personnel will follow the guidance of this 
subpart concerning actions to be taken regarding disclosure and 
testimony.



Sec. 516.42  Reference to HQDA.

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

[[Page 85]]

be forwarded to HQDA(CECC-K), WASH DC 20314-1000.
    (2) All other records will be forwarded to the appropriate office at 
HQDA (See Sec. 516.42).
    (c) Fees and charges. AR 37-60 prescribes the schedule of fees and 
charges for searching, copying, and certifying Army records for release 
in response to litigation-related requests.
    (d) Release of records of other agencies. Normally an individual 
requesting records originating in agencies outside DA (that is, FBI 
reports, local police reports, civilian hospital records) that are also 
included in Army records should be advised to direct his inquiry to the 
originating agency.



Sec. 516.44  Determination of release authorization.

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

[[Page 86]]

records, signed by a judge or magistrate.
    (2) Unclassified records otherwise privileged from release under 5 
U.S.C. 552a may be released to the court under either of the following 
conditions:
    (i) The subpoena is accompanied by an order signed by a judge or 
magistrate, or such order is separately served, that orders the person 
to whom the records pertain to release the specific records, or that 
orders copies of the records be delivered to the clerk of court, and 
indicates that the court has determined the materiality of the records 
and the nonavailability of a claim of privilege.
    (ii) The clerk of the court is empowered by local statute or 
practice to receive the records under seal subject to request that they 
be withheld from the parties until the court determines whether the 
records are material to the issues and until any question of privilege 
is resolved.
    (iii) Subpoenas for alcohol abuse or drug abuse treatment records 
must be processed under 42 U.S.C. 290dd-3 and 290ee-3, and Public Health 
Service regulations published at 42 CFR 2.1-2.67.
    (iv) Upon request, SJAs and legal advisers may furnish to the 
attorney for the injured party or the tortfeasor's attorney or insurance 
company a copy of the narrative summary of medical care that relates to 
a claim under subpart E of this part. If additional medical records are 
requested, only those that directly pertain to the pending action will 
be furnished. If furnishing copies of medical records would prejudice 
the cause of action, the matter will be reported to Litigation Division.
    (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

[[Page 87]]

any, of refusal. Any individual not authorized to consult with Army 
counsel should consult with private counsel, at no expense to the 
government.



Sec. 516.48  Official information.

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

[[Page 88]]

    (e) Expert witness fees. All fees tendered to present DA personnel 
as an expert or opinion witness, to the extent they exceed actual 
travel, meals, and lodging expenses of the witness, will be remitted to 
the Treasurer of the United States.



Sec. 516.50  Interference with mission.

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

          Litigation in Which the United States Has an Interest



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

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

[[Page 89]]

local travel through the SJA or legal adviser for attendance of a 
witness who is stationed at an installation within the same judicial 
district, or not more than 100 miles from the place where testifying. 
Other requests, including those under Sec. 516.55(d), will be referred 
to Litigation Division. The instructions from Litigation Division, or 
the request from the U.S. Attorney or the attorney asserting the 
government's claim, will serve as a basis for the issuance of 
appropriate travel orders by the local commander.
    (c) Travel and per diem expenses. The witness' commander or 
supervisor should ensure the witness has sufficient funds to defray 
expenses. The SJA or legal adviser will provide assistance.
    (1) Where local travel is performed at the request of a U.S. 
Attorney and the testimony does not involve information acquired in the 
performance of duties, transportation arrangements and any per diem 
expenses are the responsibility of the U.S. Attorney.
    (2) An attorney asserting the government's medical care or property 
claim may be required to advance local travel expense money to the 
witness requested and to include these in recoverable costs where the 
government's claim is not large enough to justify expenditures of 
government travel funds.
    (3) Other local travel and per diem expense for cases involving Army 
activities or claims are proper expenses of the command issuing the 
orders.
    (4) Litigation Division will furnish travel expense and per diem 
funds for other than local travel and will receive reimbursement from 
DOJ or other government agencies as appropriate.



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

[[Page 90]]

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



         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

[[Page 91]]

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

[[Page 92]]

allow consideration of applicable remedies, any court records, 
documents, or other evidence of fraud or corruption from ongoing or 
completed criminal investigations. In cases of indictment or conviction 
of a contractor or individual, the information will be provided in time 
for initiation, if appropriate, of suspension or debarment action within 
30 days of the indictment or conviction.
    (6) Provide prosecutive authorities and centralized organizations 
with timely information on the adverse impact on a DOD mission of fraud 
or corruption that relates to DOD procurement activities. This 
information will be obtained from individuals such as the head of the 
contracting agency, appropriate commanders, and staff agencies. Some 
examples of adverse impact on a DOD mission are endangerment of 
personnel or property, monetary loss, compromise of the procurement 
process, or reduction or loss of mission readiness.
    (7) Discuss regularly with Procurement Fraud Advisers the status of 
significant investigations of fraud or corruption and their coordination 
with prosecutive authorities and provide documents and reports resulting 
from the investigations.
    (c) Commanders of service schools conducting procurement or 
procurement-related training (such as The Judge Advocate General's 
School, the U.S. Military Police School, and the U.S. Army Logistics 
Management Center) will ensure the following:
    (1) All procurement and procurement-related training includes a 
period 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

[[Page 93]]

the Army. To facilitate filing, a separate sheet should be used for each 
case reported. These reports will provide a succinct summary of the 
following available information:
    (1) Name and address of contractor.
    (2) Known subsidiaries of parent firms.
    (3) Contracts involved in potential fraud.
    (4) Nature of potential fraud.
    (5) Summary of pertinent facts.
    (6) Possible damages.
    (7) Investigative agencies involved.
    (8) Local PFAs (name and phone numbers).

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

[[Page 94]]

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



Sec. 516.63  Coordination with DOJ.

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

[[Page 95]]

    (3) The impact upon combat readiness and safety.
    (4) Consideration of each criminal, civil, contractual, and 
administrative remedy available, and documentation of those remedies, 
either planned, in progress, or completed.
    (5) Restrictions on the pursuit of any remedies such as grand jury 
information or possible compromise of the investigation.
    (d) When remedies plans are received by PFD they will be coordinated 
with the headquarters of the appropriate DOD criminal investigative 
organization involved.
    (e) Testing necessary to support the investigation and remedies plan 
should comply with figure H-3, appendix G, to this part.



Sec. 516.65  Litigation reports in civil recovery cases.

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

[[Page 96]]

the case of ongoing criminal investigations, this coordination will be 
accomplished through the appropriate DOD criminal investigation 
organization.



Sec. 516.67  Overseas cases of fraud or corruption.

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



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

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

[[Page 97]]

action under PFCRA is not duplicative of other remedies already taken. 
In order to fully supplement the Reviewing Official's file, PFD may 
request a litigation report.
    (h) PFD will coordinate all cases involving transportation 
operations emanating from Military Traffic Management Command (MTMC) 
activity, under the military transportation exception to the FAR, and 
all cases involving pay and entitlements fraud with SAFM-RO, for 
comments and recommendations. These matters will be forwarded with the 
case file to the Reviewing Official.
    (i) If the Attorney General approves the issuance of a complaint, 
PFD, at the direction of the Army Reviewing Official, shall prepare the 
complaint and all necessary memoranda as required. PFD shall also 
designate attorneys to represent the Authority in hearings under PFCRA.



        Subpart I_Cooperation With the Office of Special Counsel



Sec. 516.69  Introduction.

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



Sec. 516.70  Policy.

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

[[Page 98]]

    (2) Promptly inform the DA General Counsel of any OSC investigation 
and consult with the DA General Counsel on any legal or policy issue 
arising from an OSC investigation.
    (3) Serve as the HQDA point of contact in providing assistance to 
OSC.
    (4) Act as DA attorney-of-record in administrative matters initiated 
by OSC before the MSPB which arise from an OSC investigation. As DA 
attorney-of-record, the Chief, DAJA-LE, will file necessary pleadings 
and make necessary appearances before the MSPB to represent DA 
interests.
    (5) Monitor ongoing OSC investigations within DA.
    (6) Ensure that appropriate DA personnel are fully apprised of their 
rights, duties and the nature and basis for an OSC investigation.
    (7) Review and prepare recommendations to the General Counsel 
concerning any OSC recommended corrective action referred to DA. Such 
review and recommendations will address whether disciplinary action 
should be taken against DA civilian employees or military members, and 
whether the information warrants referral to appropriate authorities for 
corrective and disciplinary action.
    (8) Seek OSC approval of DA proposed disciplinary action against an 
employee for an alleged prohibited personnel practice or other 
misconduct which is the subject of or related to any OSC investigation.
    (9) Review and prepare recommendations for DA General Counsel 
concerning requests for counsel, to include identifying available DA 
attorneys to act as individual representatives. Upon 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

[[Page 99]]

interviews with OSC representatives. If the requested witness is not an 
``accused'' or ``suspected'' individual and the witness asks for 
assistance of counsel, a DA attorney will be made available for the 
limited purpose of consultation regarding the witness' rights and 
obligations. An attorney-client relationship will not be established. 
(See appendix F to this part).
    (3) The Labor Counselor will arrange for individual counsel for 
consultation from local assets. If local assets are not sufficient, 
assistance may be requested from other DOD activities in the area or 
from HQDA, DAJA-LE. DA attorneys tasked to consult with one or more 
witnesses individually will not be tasked to represent the DA activity 
concerned.
    (4) The Labor Counselor, as the legal representative of the 
activity, is precluded from assisting or representing individual 
witnesses during OSC interviews.
    (b) ``Accused'' or ``suspected'' DA personnel and counsel for 
representation. (1) If the OSC identifies a DA civilian employee or a 
military member as an ``accused'' or ``suspected'' individual, or if the 
Labor Counselor concludes that an individual is a ``suspect,'' the Labor 
Counselor will inform the individual. The Labor Counselor also will 
advise the individual of the availability of counsel for representation 
upon approval by DA General Counsel. (See Glossary, Counsel for 
Representation).
    (2) If the ``suspected'' individual desires legal representation by 
DA, the individual must request counsel by submitting a written request 
through 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

[[Page 100]]

of records and other information will be accomplished pursuant to MSPB 
rules of discovery (5 CFR part 1201, subpart B).
    (d) Funding. The command, activity, or installation within which the 
allegations of misconduct arose will provide funding for travel, per 
diem and other necessary expenses related to the OSC investigation. 
These expenses may include appropriate funding for witnesses, counsel 
for consultation and DA General Counsel approved counsel for 
representation.



Sec. 516.73  Assistance from HQDA.

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



     Subpart J_Soldiers Summoned To Serve on State and Local Juries



Sec. 516.74  General.

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



Sec. 516.75  Policy.

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

[[Page 101]]

official may be necessary to determine any impact on the soldier's 
duties or on unit readiness.
    (1) If the soldier is not exempt under Sec. 516.75 (b) or (c), the 
commander will process the soldier for permissive TDY in accordance with 
AR 630-5, Leaves and Passes.
    (2) If the soldier is exempt under Sec. 516.75 (b) or (c), the 
commander will forward the summons and any related documentation, with 
recommendations, through the chain of command to the commander with 
exemption determination authority over the soldier concerned.
    (c) The commander with exemption determination authority over the 
soldier concerned will determine whether the soldier is exempt. His 
determination is final.
    (d) The exemption determination authority will notify responsible 
state or local officials whenever a soldier summoned for jury duty is 
exempt. The notification will cite 10 U.S.C. 982 as authority.



Sec. 516.78  Status, fees, and expenses.

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



                 Sec. 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.)

[[Page 102]]

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.



             Sec. 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



  Sec. 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

[[Page 103]]

                               A. Purpose

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

                       B. Applicability and Scope

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

[[Page 104]]

                           E. Responsibilities

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

                              F. Procedures

                           1. Authority To Act

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

[[Page 105]]

paragraph F.1. See United States ex rel. Touhy v. Ragen, 340 U.S. 462 
(1951).
    c. Whenever a litigation request or demand is made upon DoD 
personnel for official DoD information or for testimony concerning such 
information, the personnel upon whom the request or demand was made 
shall immediately notify the DoD official designated in paragraph F.1. 
for the Component to which the individual contacted is or, for former 
personnel, was last assigned. In appropriate cases, the responsible DoD 
official shall thereupon notify the Department of Justice of the request 
or demands. After due consultation and coordination with the Department 
of Justice, as required, the DoD official shall determine whether the 
individual is required to comply with the request or demand and shall 
notify the requestor or the court or other authority of the 
determination reached.
    d. If, after DoD personnel have received a litigation request or 
demand and have in turn notified the appropriate DoD official in 
accordance with paragraph F.3.c., a response to the request or demand is 
required before instructions from the responsible official are received, 
the responsible official designated in paragraph F.1. shall furnish the 
requestor or the court or other authority with a copy of this Directive 
and applicable implementing regulations, inform the requestor or the 
court or other authority that the request or demand is being reviewed, 
and seek a stay of the request or demand pending a final determination 
by the Component concerned.
    e. If a court of competent jurisdiction or other appropriate 
authority declines to stay the effect of the request or demand in 
response to action taken pursuant to paragraph F.3.d., or if such court 
or other authority orders that the request or demand must be complied 
with notwithstanding the final decision of the appropriate DoD official, 
the DoD personnel upon whom the request or demand was made shall notify 
the responsible DoD official of such ruling or order. If the DoD 
official determines that no further legal review of or challenge to the 
court's ruling 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.



  Sec. 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

[[Page 106]]

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

                        A. Reissuance and Purpose

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

                            B. Applicability

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

                             C. Definitions

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

[[Page 107]]

ensure that all proposed actions are coordinated with appropriate 
investigative organization.
    f. Establish procedures to ensure that a specific comprehensive 
remedies plan is developed for each significant investigation involving 
fraud or corruption related to procurement activities. These procedures 
shall include the participation of the appropriate DoD criminal 
investigative organization in the development of the plan.
    g. Establish procedures to ensure that in those significant 
investigations of fraud or corruption related to procurement activities 
when adverse impact on a DoD mission can be determined, such adverse 
impact is identified and documented by the centralized organization. 
This information is to be used by the centralized organization of the 
DoD Component concerned in development of the remedies plan required in 
paragraph E.1.f., above, and shall be furnished to prosecutors as stated 
in paragraph E.2.e., below. The information shall also be used by the 
centralized organizations in development and preparation of ``Victim 
Impact Statements'' for use in sentencing proceedings, as provided for 
P.L. 97-291 (reference (b)). Some examples of adverse impact on a DoD 
mission are as follows:
    (1) Endangerment of personnel or property.
    (2) Monetary loss.
    (3) Denigration of program or personnel integrity.
    (4) Compromise of the procurement process.
    (5) Reduction or loss of mission readiness.
    h. Ensure training materials are developed on fraud and corruption 
in the procurement process, and that all procurement and procurement-
related training includes a period of such instruction appropriate to 
the duration and nature of the training.
    i. Establish procedures enabling the centralized organization to 
ensure that safety 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

[[Page 108]]

considered and advise the appropriate centralized organization of any 
adverse impact.
    i. Obtain a DD 350 report in every investigation into defective 
products or product substitution in which a SERIOUS HAZARD to health, 
safety, or operational readiness is indicated. Timely notification shall 
be made to the centralized organization of each DoD Component that is 
identified as having contract actions with the subject of the 
investigation.
    j. Obtain a DD 350 report in all significant fraud investigations, 
as defined in subsection C.2. above, whether or not the case involved 
defective products or product substitution. Timely notification shall be 
made to the centralized organization of each DoD Component that is 
identified as having contract actions with the subject of the 
investigation.
    3. The Inspector General, Department of Defense (IG, DoD), shall:
    a. Develop training materials relating to fraud and corruption in 
procurement related activities which shall be utilized in all 
procurement related training in conjunction with training materials 
developed by the DoD Components. (See paragraph E.1.h., above.)
    b. Establish procedures for providing to the DoD criminal 
investigative organizations, through the Office of the Assistant 
Inspector General for Auditing (OAIG-AUD), reports of data contained in 
the Individual Procurement Action Report (DD Form 350) System.

                              F. Procedures

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

[[Page 109]]

    h. Nonaward of contract based upon a finding of contractor 
nonresponsibility.
    i. Voluntary refunds.

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

[[Page 110]]



  Sec. 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.



                  Sec. Appendix F to Part 516--Glossary

                              Abbreviations

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

[[Page 111]]

except an instrumentality of the United States. A claim against several 
joint debtors or tortfeasors arising from a single transaction or 
incident will be considered one claim.

                             Claims Officer

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

                               Corruption

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

                        Counsel for Consultation

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

                       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

[[Page 112]]

terms of which the United States may be required to reimburse the 
contractor for recoveries, fees, or costs of the litigation.
    d. A suit involving administrative proceedings before Federal, 
state, municipal, or foreign tribunals or regulatory bodies that may 
have a financial impact upon the Army.
    e. A suit affecting Army operations or which might require, limit, 
or interfere with official action.
    f. A suit in which the United States has a financial interest in the 
plaintiff's recovery.
    g. Foreign litigation in which the United States is bound by treaty 
or agreement to ensure attendance by military personnel or civilian 
employees.

                              Medical Care

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

                               Misdemeanor

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

                          Official Information

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

[[Page 113]]

(as defined in 5 U.S.C. 3110) of the employee, if the position is in the 
agency in which the employee is serving as a public official or over 
which the employee exercises jurisdiction or control as an official.
    h. To take or fail to take a personnel action with respect to any 
employee or applicant for employment as a reprisal for being a 
whistleblower, as defined below.
    i. To take or fail to take a personnel action against an employee or 
applicant for employment as a reprisal for the exercise of any appeal 
right granted by law, rule, or regulation.
    j. To discriminate for or against any employee or applicant for 
employment on the basis of conduct that does not adversely affect the 
performance of the employee or applicant or the performance of others.
    k. To take or fail to take any other personnel action if the taking 
of, or failure to take, such action violates any law, rule, or 
regulation implementing, or directly concerning, the merit system 
principles contained in 5 U.S.C. 2301.

                         Prosecutive Authorities

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



                  Sec. 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.

[[Page 114]]

                            Prayer for Relief

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

                         Certificate of Service

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

                            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

[[Page 115]]

does not alter or increase the obligations of the United States under 
United States Contract No. WP-70-660415.
    I further agree that such representation will not be construed as 
waiver or estoppel to assert any rights which any interested party may 
have under said contract.
    Executed on: ----------
D.D. Tango,
President, XYZ, Inc.

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

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

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

[[Page 116]]

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

             Figure G-3. Sample Expert Witness Denial Letter

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

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

[[Page 117]]

                Figure H-1. Procurement Fraud Indicators

                      Procurement Fraud Indicators

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

[[Page 118]]

    c. Improperly attempting to change a bid after other bidders prices 
are known.
    d. Indications that mistakes have been deliberately planted in a bid 
to support correction after bid opening.
    e. Withdrawal by a low bidder who may later become a subcontractor 
to a higher bidder who gets the contract.
    f. Apparent collusion or bid rigging among the bidders.
    g. Bidders apparently revealing their prices to each other.
    h. Required contractor certifications appear falsified.
    i. Information concerning contractor's qualifications, finances, and 
capabilities appears falsified.
    6. During the evaluation of bids and proposals.
    a. Deliberately losing or discarding bids of certain contractors.
    b. Improperly disqualifying the bids or proposals of certain 
contractors.
    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.)

[[Page 119]]

    D. Restrictions on Remedies Action. (Comment as to why obvious 
remedies are not being pursued. For example, the U.S. Attorney requests 
suspension action held in abeyance pending criminal action.)

             Section V (Miscellaneous Comments/Information)

                 Section VI (Remedies Plan Participants)

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

                Section VII (MACOM Coordination Comments)

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

                            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.

[[Page 120]]

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 121]]

                     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.

[[Page 122]]

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 123]]

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 124]]

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 125]]

    (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 126]]

    (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 127]]

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

[[Page 128]]

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

[[Page 129]]

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 130]]

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 131]]

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 132]]

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 133]]



                      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 134]]

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 135]]

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

[[Page 136]]

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

[[Page 137]]

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

[[Page 138]]

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 139]]

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 140]]

(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 141]]

    (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 142]]

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 143]]

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 144]]

    (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 145]]

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

[[Page 146]]

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 147]]

    (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,

[[Page 148]]

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 149]]

    (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 150]]

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 151]]

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

[[Page 152]]

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

[[Page 153]]

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

[[Page 154]]

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 155]]

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 156]]

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 157]]

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 158]]

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 159]]

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 160]]

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 161]]

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 162]]

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 163]]

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 164]]

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 165]]

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 166]]

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 167]]

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 168]]



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 169]]



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 170]]

 
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 171]]

    (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 172]]

    (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 173]]

    (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 174]]

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.



                 Sec. 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 175]]

    (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.



          Sec. 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 176]]

    (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 177]]

    (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 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.
    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.

[[Page 178]]

    (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 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

[[Page 179]]

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 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

[[Page 180]]

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 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.

[[Page 181]]

    (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.
    (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

[[Page 182]]

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:
    (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

[[Page 183]]

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 184]]



                    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 185]]

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 186]]

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 187]]

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 188]]

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_The Army Claims System

Sec.
536.1 Purpose of the Army Claims System.
536.2 Claims authorities.
536.3 Command and organizational relationships.
536.4 Designation of claims attorneys.
536.5 The Judge Advocate General.
536.6 The Army claims mission.
536.7 Responsibilities of the Commander USARCS.
536.8 Responsibilities and operations of command claims services.
536.9 Responsibilities and operations of area claims offices.
536.10 Responsibilities and operations of claims processing offices.
536.11 Chief of Engineers.
536.12 Commanding General, U.S. Army Medical Command.
536.13 Chief, National Guard Bureau.
536.14 Commanders of major Army commands.
536.15 Claims policies.
536.16 Release of information policies.
536.17 Single-service claims responsibility (DODD 5515.8 and DODD 
          5515.9).
536.18 Cross-servicing of claims.
536.19 Disaster claims planning.
536.20 Claims assistance visits.
536.21 Annual claims award.

            Subpart B_Investigation and Processing of Claims

536.22 Claims investigative responsibility--General.
536.23 Identifying claims incidents both for and against the government.
536.24 Delegation of investigative responsibility.
536.25 Procedures for accepting claims.
536.26 Identification of a proper claim.
536.27 Identification of a proper claimant.
536.28 Claims acknowledgment.
536.29 Revision of filed claims.
536.30 Action upon receipt of claim.
536.31 Opening claim files.
536.32 Transfer of claims among armed services branches.
536.33 Use of small claims procedures.
536.34 Determination of correct statute.
536.35 Unique issues related to environmental claims.
536.36 Related remedies.
536.37 Importance of the claims investigation.
536.38 Elements of the investigation.
536.39 Use of experts, consultants and appraisers.
536.40 Conducting the investigation.
536.41 Determination of liability--generally.

[[Page 189]]

536.42 Constitutional torts.
536.43 Incident to service.
536.44 FECA and LSHWCA claims exclusions.
536.45 Statutory exceptions.
536.46 Other exclusions.
536.47 Statute of limitations.
536.48 Federal employee requirement.
536.49 Scope of employment requirement.
536.50 Determination of damages--applicable law.
536.51 Collateral source rule.
536.52 Subrogation.
536.53 Evaluation of claims--general rules and guidelines.
536.54 Joint tortfeasors.
536.55 Structured settlements.
536.56 Negotiations--purpose and extent.
536.57 Who should negotiate.
536.58 Settlement negotiations with unrepresented claimants.
536.59 Settlement or approval authority.
536.60 Splitting property damage and personal injury claims.
536.61 Advance payments.
536.62 Action memorandums.
536.63 Settlement agreements.
536.64 Final offers.
536.65 Denial notice.
536.66 The ``Parker'' denial.
536.67 Mailing procedures.
536.68 Appeal or reconsideration.
536.69 Retention of file.
536.70 Preparation and forwarding of payment vouchers.
536.71 Fund sources.
536.72 Finality of settlement.

        Subpart C_Claims Cognizable Under the Military Claims Act

536.73 Statutory authority for the Military Claims Act.
536.74 Scope for claims under the Military Claims Act.
536.75 Claims payable under the Military Claims Act.
536.76 Claims not payable under the Military Claims Act.
536.77 Applicable law for claims under the Military Claims Act.
536.78 Settlement authority for claims under the Military Claims Act.
536.79 Action on appeal under the Military Claims Act.
536.80 Payment of costs, settlements, and judgments related to certain 
          medical malpractice claims.
536.81 Payment of costs, settlements, and judgments related to certain 
          legal malpractice claims.
536.82 Reopening an MCA claim after final action by a settlement 
          authority.

      Subpart D_Claims Cognizable Under the Federal Tort Claims Act

536.83 Statutory authority for the Federal Tort Claims Act.
536.84 Scope for claims under the Federal Tort Claims Act.
536.85 Claims payable under the Federal Tort Claims Act.
536.86 Claims not payable under the Federal Tort Claims Act.
536.87 Applicable law for claims under the Federal Tort Claims Act.
536.88 Settlement authority for claims under the Federal Tort Claims 
          Act.
536.89 Reconsideration of Federal Tort Claims Act claims.

       Subpart E_Claims Cognizable Under the Non-Scope Claims Act

536.90 Statutory authority for the Non-Scope Claims Act.
536.91 Scope for claims under the Non-Scope Claims Act.
536.92 Claims payable under the Non-Scope Claims Act.
536.93 Claims not payable under the Non-Scope Claims Act.
536.94 Settlement authority for claims under the Non-Scope Claims Act.
536.95 Reconsideration of Non-Scope Claims Act claims.

     Subpart F_Claims Cognizable Under the National Guard Claims Act

536.96 Statutory authority for the National Guard Claims Act.
536.97 Scope for claims under the National Guard Claims Act.
536.98 Claims payable under the National Guard Claims Act.
536.99 Claims not payable under the National Guard Claims Act.
536.100 Applicable law for claims under the National Guard Claims Act.
536.101 Settlement authority for claims under the National Guard Claims 
          Act.
536.102 Actions on appeal under the National Guard Claims Act.

       Subpart G_Claims Cognizable Under International Agreements

536.103 Statutory authority for claims cognizable under international 
          claims agreements.
536.104 Current agreements in force.
536.105 Responsibilities generally/international agreements claims.
536.106 Definitions for international agreements claims.
536.107 Scope for international agreements claims arising in the United 
          States.

[[Page 190]]

536.108 Claims payable under international agreements (for those arising 
          in the United States).
536.109 Claims not payable under international agreements (for those 
          arising in the United States).
536.110 Notification of incidents arising under international agreements 
          (for claims arising in the United States).
536.111 Investigation of claims arising under international agreements 
          (for those claims arising in the United States).
536.112 Settlement Authority for claims arising under international 
          agreements (for those claims arising in the United States).
536.113 Assistance to foreign forces for claims arising under 
          international agreements (as to claims arising in the United 
          States).
536.114 Scope for claims arising overseas under international 
          agreements.
536.115 Claims procedures for claims arising overseas under 
          international agreements.
536.116 Responsibilities as to claims arising overseas under 
          international agreements.

                        Subpart H_Maritime Claims

536.117 Statutory authority for maritime claims.
536.118 Related statutes for maritime claims.
536.119 Scope for maritime claims.
536.120 Claims payable as maritime claims.
536.121 Claims not payable as maritime claims.
536.122 Limitation of settlement of maritime claims.
536.123 Limitation of liability for maritime claims.
536.124 Settlement authority for maritime claims.

Subpart I_Claims Cognizable Under Article 139, Uniform Code of Military 
                                 Justice

536.125 Statutory authority for the Uniform Code of Military Justice 
          (UCMJ) claims.
536.126 Purpose of UCMJ claims.
536.127 Proper claimants; unknown accused--under the UCMJ.
536.128 Effect of disciplinary action, voluntary restitution, or 
          contributory negligence for claims under the UCMJ.
536.129 Claims cognizable as UCMJ claims.
536.130 Claims not cognizable as UCMJ claims.
536.131 Limitations on assessments arising from UCMJ claims.
536.132 Procedure for processing UCMJ claims.
536.133 Reconsideration of UCMJ claims.
536.134 Additional claims judge advocate and claims attorney 
          responsibilities (for UCMJ claims).

        Subpart J_Claims Cognizable Under the Foreign Claims Act

536.135 Statutory authority for the Foreign Claims Act.
536.136 Scope for claims arising under the Foreign Claims Act.
536.137 Claims payable under the Foreign Claims Act.
536.138 Claims not payable under the Foreign Claims Act.
536.139 Applicable law for claims under the Foreign Claims Act.
536.140 Appointment and functions of Foreign Claims Commissions.
536.141 Composition of Foreign Claims Commissions.
536.142 Qualification of members of Foreign Claims Commissions.
536.143 Settlement authority of Foreign Claims Commissions.
536.144 Reopening a claim after final action by a Foreign Claims 
          Commission.
536.145 Solatia payment.

                  Subpart K_Nonappropriated Fund Claims

536.146 Claims against nonappropriated fund employees--generally.
536.147 Claims by NAFI employees for losses incident to employment.
536.148 Claims generated by the acts or omissions of NAFI employees.
536.149 Identification of persons whose actions may generate liability.
536.150 Claims payable from appropriated funds.
536.151 Settlement authority for claims generated by acts or omissions 
          of NAFI employees.
536.152 Payment of claims generated by acts or omissions of NAFI 
          employees.
536.153 Claims involving tortfeasors other than nonappropriated fund 
          employees: NAFI contractors.
536.154 Claims involving tortfeasors other than nonappropriated fund 
          employees: NAFI risk management program (RIMP) claims.
536.155 Claims payable involving tortfeasors other than nonappropriated 
          fund employees.
536.156 Procedures for claims involving tortfeasors other than 
          nonappropriated fund employees.
536.157 Settlement/approval authority for claims involving tortfeasors 
          other than nonappropriated fund employees.

    Authority: 10 U.S.C. 2733; 10 U.S.C. 1089; 10 U.S.C. 1054; 28 U.S.C. 
1291, 2401-2402, 2411-2412, 2671-2680; 10 U.S.C. 2737; 32 U.S.C. 715; 10 
U.S.C. 2734a, 2734b; 10 U.S.C. 2734; 10 U.S.C. 4801, 4802, 4806; 46 
U.S.C. app. 740; 39 U.S.C. 411; 10 U.S.C. 939; 10 U.S.C. 2736; 10 U.S.C. 
2735; 10 U.S.C. 2731.

[[Page 191]]


    Source: 71 FR 69360, Nov. 30, 2006, unless otherwise noted.



                    Subpart A_The Army Claims System



Sec. 536.1  Purpose of the Army Claims System.

    This part sets forth policies and procedures that govern the 
investigating, processing, and settling of claims against, and in favor 
of, the United States under the authority conferred by statutes, 
regulations, international and interagency agreements, and Department of 
Defense Directives (DODDs). It is intended to ensure that claims are 
investigated properly and adjudicated according to applicable law, and 
valid recoveries and affirmative claims are pursued against carriers, 
third-party insurers, and tortfeasors.



Sec. 536.2  Claims authorities.

    (a) General. Claims cognizable under the following list of statutes 
and authorities are processed and settled under DA Pam 27-162 and this 
part. All of these materials may be viewed on the USARCS Web site, 
https://www.jagcnet.army.mil/85256F33005C2B92/(JAGCNETDocID)/
HOME?OPENDOCUMENT. Select the link ``Claims Resources.''
    (1) Tort claims. (i) The Military Claims Act (MCA), 10 United States 
Code (U.S.C.) 2733 (see subpart C of this part). The ``incident-to-
service'' provision, applicable to both military and civilian personnel 
of the Department of Defense, is contained in the MCA.
    (ii) The Gonzales Act, 10 U.S.C. 1089. This act permits individual 
suits against health care providers for certain torts (see Sec. 
536.80).
    (iii) Certain suits arising out of legal malpractice, 10 U.S.C. 
1054, discussed at Sec. 536.81 and at DA Pam 27-162, paragraph 2-62f.
    (iv) The Federal Tort Claims Act (FTCA), 28 U.S.C. 1291, 1402, 2401-
2402, 2411-2412, and 2671-2680 (see subpart D of this part). The 
Westfall Act, 28 U.S.C. 2679, an integral part of the FTCA, provides 
absolute immunity from individual suit for common law torts for 
employees of the United States acting within the scope of their 
employment.
    (A) The legislative history of the FTCA.
    (B) Regulations of the Attorney General implementing the Federal 
Tort Claims Act, 28 CFR Part 14.
    (C) An appendix to 28 CFR Part 14 sets forth certain delegations of 
settlement authority to the Secretary of Veterans Affairs, the 
Postmaster General, the Secretary of Defense, the Secretary of 
Transportation, and the Secretary of Health and Human Services.
    (v) The Non-Scope Claims Act (NSCA), 10 U.S.C. 2737 (see subpart E 
of this part).
    (vi) The National Guard Claims Act (NGCA), 32 U.S.C. 715 (see 
subpart F of this part).
    (vii) Claims under International Agreements or the Foreign Claims 
Act.
    (A) International Agreements Claims Act (IACA), 10 U.S.C. 2734a and 
2734b.
    (B) Foreign Claims Act (FCA), 10 U.S.C. 2734 (see subpart J of this 
part).
    (viii) The Army Maritime Claims Settlement Act (AMCSA), 10 U.S.C. 
4801, 4802 and 4806. Affirmative claims under the AMCSA are processed 
under 10 U.S.C. 4803 and 4804 (see Sec. 537.16 of this chapter).
    (ix) Admiralty Extension Act (AEA), 46 U.S.C. app. 740 (see subpart 
H of this part).
    (x) Claims against nonappropriated fund (NAF) activities and the 
risk management program (RIMP) (see subpart K of this part), processed 
under Army Regulation (AR) 215-1 and AR 608-10.
    (xi) Claims by the U.S. Postal Service for losses or shortages in 
postal accounts caused by unbonded Army personnel (39 U.S.C. 411 and 
Department of Defense (DOD) Manual 4525.6-M).
    (2) Personnel claims (subpart I of this part and AR 27-20, chapter 
11).
    (i) The Personnel Claims Act (PCA), 31 U.S.C. 3721 (see AR 27-20, 
chapter 11).
    (ii) Redress of injuries to personal property, Uniform Code of 
Military Justice (UCMJ), Article 139, 10 U.S.C. 939 (see subpart I of 
this part).
    (3) Affirmative claims (32 CFR Part 537).
    (i) The Federal Claims Collection Act (FCCA), 31 U.S.C. 3711-3720E.
    (ii) The Federal Medical Care Recovery Act (FMCRA), 42 U.S.C. 2651-
2653.

[[Page 192]]

    (iii) Collection from third-party payers of reasonable costs of 
healthcare services, 10 U.S.C. 1095.
    (b) Fund source authority for claims under Title 10 statutes. 10 
U.S.C. 2736, advance payments for certain property claims (see Sec. 
536.71).
    (c) Fund source authority for tort claims paid by Financial 
Management Service (FMS). 31 U.S.C. 1304, provides authority for 
judgments, awards and compromise settlements.
    (d) Additional authorities under Title 10. (1) 10 U.S.C. 2735, 
establishes that settlements (or ``actions'') under the Title 10 claims 
processing statutes are final and conclusive.
    (2) 10 U.S.C. 2731, provides a definition of the word ``settle.''
    (e) Related remedies statutes. The Army frequently receives claims 
or inquiries that are not cognizable under the statutory and other 
authorities administered by the U.S. Army under this publication and DA 
Pam 27-162. Every effort should be made to refer the claim or inquiry to 
the proper authority following the guidance in Sec. 536.34 or Sec. 
536.36. (See also the corresponding paragraphs 2-15 and 2-17, 
respectively, in DA Pam 27-162). Some authorities for related remedies 
are used more frequently than others. Where an authority for a related 
remedy is frequently used, it is listed below and is posted on the 
USARCS Web site (for the address see Sec. 536.2(a)).
    (1) Tucker Act, 28 U.S.C. 1346, provides exclusive jurisdiction in 
the Court of Federal Claims over causes of actions alleging property 
loss caused by a Fifth Amendment ``taking.''
    (2) Maritime authority statutes, Public Vessels Act (PVA), 46 U.S.C. 
app. 781-790, Suits in Admiralty Act (SIAA), 46 U.S.C. app. 741-752, and 
the Rivers and Harbors Act, 33 U.S.C. 408 and 412.
    (3) Federal Employees Compensation Act (FECA), two excerpts: 5 
U.S.C. 8116 and 8140, providing guidance on personal injury and death 
claims by civilian employees arising within the scope of their 
employment (see DA Pam 27-162, paragraph 2-15b) and information on 
certain claims by Reserve Officers Training Corps (ROTC) cadets, 
respectively, (see DA Pam 27-162, paragraph 2-17d(2)).
    (4) Longshore and Harbor Workers Compensation Act (LHWCA), 33 U.S.C. 
901-950.
    (5) Claims for consequential property damage by civilian employees 
may only be considered in the Court of Federal Claims pursuant to 28 
U.S.C. 1491.
    (f) Additional materials. There are some additional authoritative 
materials for the processing of claims, mostly of an administrative 
nature. For a complete listing of all of the supplementary materials 
relevant to claims processing under this publication and DA Pam 27-162 
see appendix B of DA Pam 27-162.
    (g) Conflict of authorities. Where a conflict exists between a 
general provision of this publication and a specific provision found in 
one of this publication's subparts implementing a specific statute, the 
specific provision, as set forth in the statute, will control.



Sec. 536.3  Command and organizational relationships.

    (a) The Secretary of the Army. The Secretary of the Army (SA) heads 
the Army Claims System and acts on certain claims appeals directly or 
through a designee.
    (b) The Judge Advocate General. The SA 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 USARCS to carry out the 
responsibilities assigned in Sec. 536.7 and as otherwise lawfully 
delegable.
    (c) U.S. Army Claims Service. USARCS, a command and component of the 
Office of TJAG, is the agency through which the SA and TJAG discharge 
their responsibilities for the administrative settlement of claims 
worldwide (see AR 10-72). USARCS' mailing address is: U.S. Army Claims 
Service, 4411 Llewellyn Ave., Fort George G. Meade, MD 20755-5360, 
Commercial: (301) 677-7009.
    (d) Command claims services. (1) Command claims services exercise 
general supervisory authority over claims matters arising within their 
assigned areas of operation. Command claims services will:

[[Page 193]]

    (i) Effectively control and supervise the investigation of 
potentially compensable events (PCEs) occurring within the command's 
geographic area of responsibility, in other areas for which the command 
is assigned claims responsibility, and during the course of the 
command's operations.
    (ii) Provide services for the processing and settlement of claims 
for and against the United States.
    (2) The Commander USARCS, may delegate authority to establish a 
command claims service to the commander of a major overseas command or 
other commands that include areas outside the United States, its 
territories and possessions.
    (i) When a large deployment occurs, the Commander USARCS, may 
designate a command claims service for a limited time or purpose, such 
as for the duration of an operation and for the time necessary to 
accomplish the mission. The appropriate major Army command (MACOM) will 
assist the Commander USARCS, in obtaining resources and personnel for 
the mission.
    (ii) In coordination with the Commander USARCS, the MACOM will 
designate the area of responsibility for each new command claims 
service.
    (3) A command claims service may be a separate organization with a 
designated commander or chief. If it is part of the command's Office of 
the Staff Judge Advocate (SJA), the SJA will also be the chief of the 
command claims service, however, the SJA may designate a field grade 
officer as chief of the service.
    (e) Area claims offices. The following may be designated as area 
claims offices (ACOs):
    (1) An office under the supervision of the senior judge advocate 
(JA) of each command or organization so designated by the Commander 
USARCS. The senior JA is the head of the ACO.
    (2) An office under supervision of the senior JA of each command in 
the area of responsibility of a command claims service so designated by 
the chief of that service after coordination with the Commander USARCS. 
The senior JA is the head of the ACO.
    (3) The office of counsel of each U.S. Army Corps of Engineers (COE) 
district within the United States and such other COE commands or 
agencies as designated by the Commander USARCS, with concurrence of the 
Chief Counsel, Office of the Chief of Engineers, for all claims 
generated within such districts, commands or agencies. The district 
counsel or the attorney in charge of the command's or agency's legal 
office is the head of the ACO.
    (f) Claims processing offices. Claims processing offices (CPOs) are 
normally small legal offices or ACO subordinate elements, designated by 
the Commander USARCS, a command claims service or an ACO. These offices 
are established for the investigation of all actual and potential claims 
arising within their jurisdiction, on either an area, command or agency 
basis. There are four types of claims processing offices (see Sec. 
536.10):
    (1) Claims processing offices without approval authority.
    (2) Claims processing offices with approval authority.
    (3) Medical claims processing offices.
    (4) Special claims processing offices.
    (g) Limitations on delegation of authority under any subpart. (1) 
The Commander USARCS, commanders or chiefs of command claims services, 
or the heads of ACOs or CPOs with approval authority may delegate, in 
writing, all or any portion of their monetary approval authority to 
subordinate JAs or claims attorneys in their services or offices.
    (2) The authority to act upon appeals or requests for 
reconsideration, to deny claims (including disapprovals based on 
substantial fraud), to grant waivers of maximum amounts allowable, or to 
make final offers will not be delegated except that the Commander USARCS 
may delegate this authority to USARCS Division Chiefs.
    (3) CPOs will provide copies of all delegations affecting them to 
the ACO and, if so directed, to command claims services.



Sec. 536.4  Designation of claims attorneys.

    (a) Who may designate. The Commander USARCS, the senior JA of a 
command having a command claims service, the chief of a command claims 
service, the head of an ACO, or the Chief Counsel of a COE District, may

[[Page 194]]

designate a qualified attorney other than a JA as a claims attorney. The 
head of an ACO may designate a claims attorney to act as a CPO with 
approval authority.
    (b) Eligibility. To qualify as a claims attorney, an individual must 
be a civilian employee of the Department of the Army (DA) or DOD, a 
member of the bar of a state, the District of Columbia, or a 
jurisdiction where U.S. federal law applies, serving in the grade of GS-
11 or above, and performing primary duties as a legal adviser.



Sec. 536.5  The Judge Advocate General.

    TJAG has worldwide Army Staff responsibility for administrative 
settlement of claims by and against the U.S. government, generated by 
employees of the U.S. Army and DOD components other than the Departments 
of the Navy and Air Force. Where the Army has single-service 
responsibility, TJAG has responsibility for the Army. See DODD 5515.9. 
Certain claims responsibilities of TJAG are exercised by The Assistant 
Judge Advocate General (TAJAG) as set forth in this part and directed by 
TJAG.



Sec. 536.6  The Army claims mission.

    (a) Promptly investigate potential claims incidents with a view to 
determining the degree of the Army's exposure to liability, the damage 
potential, and when the third party is at fault, whether the Army should 
take action to collect for medical expenses, lost wages and property 
damage.
    (b) Efficiently and expeditiously dispose of claims against the U.S. 
by fairly settling meritorious claims at the lowest level within the 
claims system commensurate with monetary jurisdiction delegated, or by 
denying non-meritorious claims.
    (c) Develop a system that has a high level of proficiency, so that 
litigation and appeals can be avoided or kept to a minimum.



Sec. 536.7  Responsibilities of the Commander USARCS.

    The Commander USARCS shall:
    (a) Supervise and inspect claims activities worldwide.
    (b) Formulate and implement claims policies and uniform standards 
for claims office operations.
    (c) Investigate, process and settle claims beyond field office 
monetary authority and consider appeals and requests for reconsideration 
on claims denied by the field offices.
    (d) Supervise the investigation, processing, and settlement of 
claims against, and in favor of, the United States under the statutes 
and regulations listed in Sec. 536.2 and pursuant to other appropriate 
statutes, regulations, and authorizations.
    (e) Designate ACOs, CPOs, and claims attorneys within DA and DOD 
components other than the Departments of the Navy and Air Force, subject 
to concurrence of the commander concerned.
    (f) Designate continental United States (CONUS) geographic areas of 
claims responsibility.
    (g) Recommend action to be taken by the SA, TJAG or the U.S. 
Attorney General, as appropriate, on claims in excess of $25,000 or the 
threshold amount then current under the FTCA, on claims in excess of 
$100,000 or the threshold amount then current under the FCA, the MCA, 
the NGCA, AMCSA, FCCA and FMRCA and on other claims that have been 
appealed. Direct communication with Department of Justice (DOJ) and the 
SA's designee is authorized.
    (h) Operate the ``receiving State office'' for claims arising in the 
United States, its territories, commonwealths and possessions cognizable 
under Article VIII of the North Atlantic Treaty Organization (NATO) 
Status of Forces Agreement (SOFA), Partnership for Peace (PFP) SOFA, 
Article XVI of the Singapore SOFA, and other SOFAs which have reciprocal 
claims provisions as delegated by TJAG, as implemented by 10 U.S.C. 
2734a and 2734b (subpart G of this part).
    (i) Settle claims of the U.S. Postal Service for reimbursement under 
39 U.S.C. 411 (see DOD Manual 4525.6-M).
    (j) Settle claims against carriers, warehouse firms, insurers, and 
other third parties for loss of, or damage to, personal property of DA 
or DOD soldiers or civilians incurred while the goods are in storage or 
in transit at

[[Page 195]]

government expense (AR 27-20, chapter 11).
    (k) Formulate and recommend legislation for Congressional enactment 
of new statutes and the amendment of existing statutes considered 
essential for the orderly and expeditious administrative settlement of 
noncontractual claims.
    (l) Perform post-settlement review of claims.
    (m) Prepare, justify, and defend estimates of budgetary requirements 
and administer the Army claims budget.
    (n) Maintain permanent records of claims for which TJAG is 
responsible.
    (o) Assist in developing disaster and maneuver claims plans designed 
to implement the responsibilities set forth in Sec. 536.9(a)(12).
    (p) Develop and maintain plans for a disaster or civil disturbance 
in those geographic areas that are not under the jurisdiction of an area 
claims authority and in which the Army has single-service responsibility 
or in which the Army is likely to be the predominant Armed Force.
    (q) Take initial action, as appropriate, on claims arising in 
emergency situations.
    (r) Provide assistance as available or take appropriate action to 
ensure that command claims services and ACOs are carrying out their 
responsibilities as set forth in Sec. Sec. 536.8 and 536.9, including 
claims assistance visits.
    (s) Serve as proponent for the database management systems for 
torts, personnel and affirmative claims and provide standard automated 
claims data management programs for worldwide use.
    (t) Ensure proper training of claims personnel.
    (u) Coordinate claims activities with the Air Force, Navy, Marine 
Corps, and other DOD agencies to ensure a consistent and efficient joint 
service claims program.
    (v) Investigate, process and settle, and supervise the field office 
investigation and processing of, medical malpractice claims arising in 
Army medical centers within the United States; provide medical claims 
judge advocates (MCJAs), medical claims attorneys, and medical claims 
investigators assigned to such medical centers with technical guidance 
and direction on such claims.
    (w) Coordinate support with the U.S. Army Medical Command (MEDCOM) 
on matters relating to medical malpractice claims.
    (x) Issue an accounting classification to all properly designated 
claims settlement and approval authorities.
    (y) Perform the investigation, processing, and settlement of claims 
arising in areas outside command claims service areas of operation.
    (z) Maintain continuous worldwide deployment and operational 
capability to furnish claims advice to any legal office or command 
throughout the world. When authorized by the chain of command or 
competent authority, issue such claims advice or services, including 
establishing a claims system within a foreign country, interpreting 
claims aspects of international agreements, and processing claims 
arising from Army involvement in civil disturbances, chemical accidents 
under the Chemical Energy Stockpile Program, other man-made or natural 
disasters, and other claims designated by competent authority.
    (aa) Upon receiving both the appropriate authority's directive or 
order and full fiscal authorization, disburse the funds necessary to 
administer civilian evacuation, relocation, and similar initial response 
efforts in response to a chemical disaster arising at an Army facility.
    (bb) Respond to all inquiries from the President, members of 
Congress, military officials, and the general public on claims within 
USARCS' responsibility.
    (cc) Serve as the proponent for this publication and DA Pam 27-162, 
both of which set forth guidance on personnel, tort, disaster and 
affirmative claims, as well as claims management and administration.
    (dd) Provide supervision for the Army's affirmative claims and 
carrier recovery programs, as well as other methods for recovering legal 
debts.
    (ee) Provide support for the overseas environmental claims program 
as designated by the DA.
    (ff) Execute other claims missions as designated by DOD, DA, TJAG 
and other competent authority.

[[Page 196]]

    (gg) Appoint Foreign Claims Commissions outside Command Claims 
Services' geographic areas of responsibility.
    (hh) Budget for and fund claims investigations and activities; such 
as per diem and transportation of claims personnel, claimants and 
witnesses; independent medical examinations; appraisals; independent 
expert opinions; long distance telephone calls; recording and 
photographic equipment; use of express mail or couriers; and other 
necessary expenses.



Sec. 536.8  Responsibilities and operations of command claims services.

    (a) Chiefs of command claims services. Chiefs of command claims 
services shall:
    (1) Exercise claims settlement authority as specified in this part, 
including appellate authority where so delegated.
    (2) Supervise the investigation, processing, and settlement of 
claims against, and in favor of the United States under the statutes and 
regulations listed in Sec. 536.2, and pursuant to other appropriate 
statutes, regulations, and authorizations.
    (3) Designate and grant claims settlement authority to ACOs. A grant 
of such authority will not be effective until coordinated with the 
Commander USARCS, and assigned an office code. However, the chief of a 
command claims service may redesignate a CPO that already has an 
assigned office code as an ACO without coordination with the Commander 
USARCS. The Commander USARCS will be informed of such a designation.
    (4) Designate and grant claims approval authority to CPOs. Only CPOs 
staffed with a claims judge advocate (CJA) or claims attorney may be 
granted approval authority. A grant of such authority will not be 
effective until coordinated with the Commander USARCS, and assigned an 
office code.
    (5) Train claims personnel and monitor their operations and ongoing 
claims administration. Conduct a training course annually.
    (6) Implement pertinent claims policies.
    (7) Prepare and publish command claims directives.
    (8) Administer the command claims expenditure allowance, providing 
necessary data, estimates, and reports to USARCS on a regular basis.
    (9) Perform the responsibilities of an ACO (see Sec. 536.9), as 
applicable, ensure that SOFA claims are investigated properly and timely 
filed with the receiving State and adequately funded.
    (10) Serve as the United States ``sending State office,'' if so 
designated, when operating in an area covered by a SOFA.
    (11) Supervise and provide technical assistance to subordinate ACOs 
within the command claims service's geographic area of responsibility.
    (12) Appoint FCCs.
    (b) Operations of command claims services. The SJA of the command 
shall supervise the command claims service. The command SJA may 
designate a field grade JA as the chief of the service. An adequate 
number of qualified claims personnel shall be assigned to ensure that 
claims are promptly investigated and acted upon. With the concurrence of 
the Commander USARCS, a command claims service may designate ACOs within 
its area of operations to carry out claims responsibilities within 
specified geographic areas subject to agreement by the commander 
concerned.



Sec. 536.9  Responsibilities and operations of area claims offices.

    (a) Heads of ACOs. Heads of ACOs, including COE offices (see Sec. 
536.3(e)(3)) shall:
    (1) Ensure that claims and potential claims incidents in their area 
of responsibility are promptly investigated in accordance with this 
part.
    (2) Ensure that each organization or activity (for example, U.S. 
Army Reserve (USAR) or Army National Guard of the United States (ARNGUS) 
unit, ROTC detachment, recruiting company or station, or DOD agency) 
within the area appoints a claims officer to investigate claims 
incidents not requiring investigation by a JA (see Sec. 536.23) and 
ensure that this officer is adequately trained.
    (3) Supervise the investigation, processing, and settlement of 
claims against, and in favor of, the United

[[Page 197]]

States under the statutes and regulations listed in Sec. 536.2 and 
pursuant to other appropriate statutes, regulations, and authorizations.
    (4) Act as a claims settlement authority on claims that fall within 
the appropriate monetary jurisdictions set forth in this part and 
forward claims exceeding such jurisdictions to the Commander USARCS, or 
to the chief of a command claims service, as appropriate, for action.
    (5) Designate CPOs and request that the Commander USARCS, or the 
chief of a command claims service, as appropriate, grant claims approval 
authority to a CPO for claims that fall within the jurisdiction of that 
office.
    (6) Supervise the operations of CPOs within their area.
    (7) Implement claims policies and guidance furnished by the 
Commander USARCS.
    (8) Ensure that there are adequate numbers of qualified and 
adequately trained CJAs or claims attorneys, RCJAs or attorneys, 
recovery claims clerks, claims examiners, claims adjudicators and claims 
clerks in all claims offices within their areas to act promptly on 
claims.
    (9) Budget for and fund claims investigations and activities, such 
as: per diem and transportation of claims personnel, claimants and 
witnesses; independent medical examinations; appraisals and independent 
expert opinions; long distance telephone calls; recording and 
photographic equipment; use of express mail or couriers; and other 
necessary expenses.
    (10) Within the United States and its territories, commonwealths and 
possessions, procure and disseminate, within their areas of 
jurisdiction, appropriate legal publications on state or territorial law 
and precedent relating to tort claims.
    (11) Notify the Commander USARCS, of all claims and potentially 
compensable events (PCEs) as required by Sec. 536.22(c); notify the 
chief of a command claims service of all claims and PCEs.
    (12) Develop and maintain written plans for a disaster or civil 
disturbance. These plans may be internal SJA office plans or an annex to 
an installation or an agency disaster response plan.
    (13) Implement the Army's Article 139 claims program. (See subpart I 
of this part).
    (14) Notify USARCS of possible deployments and ensure adequate FCCs 
are appointed by USARCS and are trained.
    (b) Operations of area claims offices. (1) The ACO is the principal 
office for the investigation and adjudication or settlement of claims, 
and shall be staffed with qualified legal personnel under the 
supervision of the SJA, command JA, or COE district or command legal 
counsel.
    (2) In addition to the utilization of unit claims officers required 
by Sec. 536.10(a), if indicated, the full-time responsibility for 
investigating and processing claims arising within or related to the 
activities of a unit or organization located within a section of the 
designated area may be delegated to another command, unit, or activity 
by establishing a CPO at the command, unit, or activity (see Sec. 
536.10(b)(4)). Normally, all CPOs will operate under the supervision of 
the ACO in whose area the CPO is located. Where a proposed CPO is not 
under the command of the ACO parent organization, this designation may 
be achieved by a support agreement or memorandum of understanding 
between the affected commands.
    (3) Normally, claims that cannot be settled by a COE ACO will be 
forwarded directly to the Commander USARCS, with notice of referral to 
the Chief Counsel, COE. However, as part of his or her responsibility 
for litigating suits that involve civil works and military construction 
activities, the Chief Counsel, COE, may require that a COE ACO forward 
claims through COE channels, provided that such requirement does not 
preclude the Commander USARCS from taking final action within the time 
limitations set forth in subparts D and H of this part.



Sec. 536.10  Responsibilities and operations of claims processing offices.

    (a) Heads of CPOs. Heads of CPOs will:

[[Page 198]]

    (1) Investigate all potential and actual claims arising within their 
assigned jurisdiction, on either an area, command, or agency basis. Only 
a CPO that has approval authority may adjudicate and pay presented 
claims within its monetary jurisdiction.
    (2) Ensure that units and organizations within their jurisdiction 
have appointed claims officers for the investigation of claims not 
requiring a JA's investigation. (See Sec. 536.22).
    (3) Budget for and fund claims investigations and activities; 
including, per diem and transportation of claims personnel, claimants 
and witnesses; independent medical examinations; appraisals; independent 
expert opinions; long distance telephone calls; recording and 
photographic equipment; use of express mail or couriers; and other 
necessary expenses.
    (4) Within CONUS, procure and maintain legal publications on local 
law relating to tort claims pertaining to their jurisdiction.
    (5) Notify the Commander USARCS of all claims and claims incidents, 
as required by Sec. 536.22 and AR 27-20, paragraph 2-12.
    (6) Implement the Army's Article 139 claims program (see subpart I 
of this part).
    (b) Operations of claims processing offices--(1) Claims processing 
office with approval authority. A CPO that has been granted approval 
authority must provide for the investigation of all potential and actual 
claims arising within its assigned jurisdiction, on an area, command, or 
agency basis, and for the adjudication and payment of all claims 
presented within its monetary jurisdiction. If the estimated value of a 
claim, after investigation, exceeds the CPO's payment authority, or if 
disapproval is the appropriate action, the claim file will be forwarded 
to the ACO unless otherwise specified in this part, or forwarded to 
USARCS or the command claims service, if directed by such service.
    (2) Claims processing offices without approval authority. A CPO that 
has not been granted claims approval authority will provide for the 
investigation of all potential and actual claims arising within its 
assigned jurisdiction on an area, command, or agency basis. Once the 
investigation has been completed, the claim file will be forwarded to 
the appropriate ACO for action. Alternatively, an ACO may direct the 
transfer of a claim investigation from a CPO without approval authority 
to another CPO with approval authority, located within the ACO's 
jurisdiction.
    (3) Medical claims processing offices. The MCJAs or medical claims 
attorneys at Army medical centers, other than Walter Reed Army Medical 
Center, may be designated by the SJA or head of the ACO for the 
installation on which the center is located as CPOs with approval 
authority for medical malpractice claims only. Claims for amounts 
exceeding a medical CPO's approval authority will be investigated and 
forwarded to the Commander USARCS.
    (4) Special claims processing offices-- (i) Designation and 
authority. The Commander USARCS, the chief of a command claims service, 
or the head of an ACO may designate special CPOs within his or her 
command for specific, short-term purposes (for example, maneuvers, civil 
disturbances and emergencies). These special CPOs may be delegated the 
approval authority necessary to effect the purpose of their creation, 
but in no case will this delegation exceed the maximum monetary approval 
authority set forth in other subparts of this part for regular CPOs. All 
claims will be processed under the claims expenditure allowance and 
claims command and office code of the authority that established the 
office or under a code assigned by USARCS. The existence of any special 
CPO must be reported to the Commander USARCS, and the chief of a command 
claims service, as appropriate.
    (ii) Maneuver damage and claims office jurisdiction. A special CPO 
is the proper organization to process and approve maneuver damage 
claims, except when a foreign government is responsible for adjudication 
pursuant to an international agreement (see subpart G of this part). 
Personnel from the maneuvering command should be used to investigate 
claims and, at the ACO's discretion, may be assigned to the special CPO. 
The ACO will process claims filed after the maneuver terminates. The 
special CPO will investigate claims

[[Page 199]]

arising while units are traveling to or from the maneuver within the 
jurisdiction of other ACOs, and forward such claims for action to the 
ACO in whose area the claims arose. Claims for damage to real or 
personal property arising on private land that the Army has used under a 
permit may be paid from funds specifically budgeted by the maneuver for 
such purposes in accordance with AR 405-15.
    (iii) Disaster claims and civil disturbance. A special CPO provided 
for a disaster or civil disturbance should include a claims approving 
authority with adequate investigatory, administrative, and logistical 
support, including damage assessment and finance and accounting support. 
It will not be dispatched prior to notification of the Commander USARCS, 
whose concurrence must be obtained before the first claim is paid.
    (5) Supervisory requirements. The CPOs discussed in paragraphs 
(b)(2) through (b)(4) of this section must be supervised by an assigned 
CJA or claims attorney in order to exercise delegated approval 
authority.



Sec. 536.11  Chief of Engineers.

    The Chief of Engineers, through the Chief Counsel, shall:
    (a) Provide general supervision of the claims activities of COE 
ACOs.
    (b) Ensure that each COE ACO has a claims attorney designated in 
accordance with Sec. 536.4.
    (c) Ensure that claims personnel are adequately trained, and monitor 
their ongoing claims administration.
    (d) Implement pertinent claims policies.
    (e) Provide for sufficient funding in accordance with existing Army 
regulations and command directives for temporary duty (TDY), long 
distance telephone calls, recording equipment, cameras, and other 
expenses for investigating and processing claims.
    (f) Procure and maintain adequate legal publications on local law 
relating to claims arising within the United States, its territories, 
commonwealths and possessions.
    (g) Assist USARCS in evaluation of claims by furnishing qualified 
expert and technical advice from COE resources, on a non-reimbursable 
basis except for temporary duty (TDY) and specialized lab services 
expenses.



Sec. 536.12  Commanding General, U.S. Army Medical Command.

    (a) After consulting with the Commander USARCS on the selection of 
medical claims attorneys, the Commander of the U.S. Army MEDCOM, the 
European Medical Command, or other regional medical command, through his 
or her SJA/Center Judge Advocate, shall ensure that an adequate number 
of qualified MCJAs or medical claims attorneys and medical claims 
investigators are assigned to investigate and process medical 
malpractice claims arising at Army medical centers under the Commander's 
control. In accordance with an agreement between TJAG and The Surgeon 
General, such personnel shall be used primarily to investigate and 
process medical malpractice claims and affirmative claims and will be 
provided with the necessary funding and research materials to carry out 
this function.
    (b) Upon request of a claims judge advocate or claims officer, shall 
provide a qualified health care provider at a medical treatment facility 
(MTF) to examine a claimant for his injuries even if the claimant is not 
otherwise entitled to care at an MTF (See AR 40-400, Patient 
Administration, paragraph 3-47).



Sec. 536.13  Chief, National Guard Bureau.

    The Chief, National Guard Bureau (NGB), shall:
    (a) Ensure the designation of a point of contact for claims matters 
in each State Adjutant General's office.
    (b) Provide the name, address, and telephone number of these points 
of contact to the Commander USARCS.
    (c) Designate claims officers to investigate claims generated by 
ARNG personnel and forward investigations to the Active Army ACO that 
has jurisdiction over the area in which the claims incident occurred.



Sec. 536.14  Commanders of major Army commands.

    Commanders of MACOMs, through their SJAs, shall:
    (a) Assist USARCS in monitoring ACOs and CPOs under their respective

[[Page 200]]

commands for compliance with the responsibilities assigned in Sec. Sec. 
536.9 and 536.10.
    (b) Assist claims personnel in obtaining qualified expert and 
technical advice from command units and organizations on a 
nonreimbursable basis (although the requesting office may be required to 
provide TDY funding).
    (c) Assist TJAG, through the Commander USARCS, in implementing the 
functions set forth in Sec. 536.7.
    (d) Coordinate with the ACO within whose jurisdiction a maneuver is 
scheduled, to ensure the prompt investigation and settlement of any 
claims arising from it.



Sec. 536.15  Claims policies.

    (a) General. The following policies will be adhered to in processing 
and adjudicating claims falling within this regulation. The Commander 
USARCS is authorized to publish new policies or rescind existing 
policies from time to time as the need arises.
    (1) Notification. The Commander USARCS must be notified as soon as 
possible of both potential and actual claims which are serious incidents 
that cannot be settled within the monetary jurisdiction of a Command 
Claims Service or an ACO, including those which occur in the area of 
responsibility of a CPO. On such claims, the USARCS Area Action Officer 
(AAO) must coordinate with the field office as to all aspects of the 
investigation, evaluation and determination of liability. An offer of 
settlement or the assertion of an affirmative claim must be the result 
of a discussion between the AAO and the field office. Payment of a 
subrogated claim may commit the United States to liability as to larger 
claims. On the other hand, where all claims out of an incident can be 
paid within field authority they should be paid promptly with maximum 
use of small claims procedures.
    (2) Consideration under all subparts. Prior to denial, a claim will 
be considered under all subparts of this part, regardless of the form on 
which the claim is presented. A claim presented as a personnel claim 
will be considered as a tort prior to denial. A claim presented as a 
tort will first be considered as a personnel claim, and if not payable, 
then considered as a tort. If deniable, the claim will be denied both as 
a personnel claim and as a tort.
    (3) Compromise. DA policy seeks to compromise claims in a manner 
that represents a fair and equitable result to both the claimant and the 
United States. This policy does not extend to frivolous claims or claims 
lacking factual or legal merit. A claim should not be settled solely to 
avoid further processing time and expense. All claims, regardless of 
amount, should be evaluated. Congress imposed no minimum limit on 
payable claims nor did it intend that small non-meritous claims be paid. 
Practically any claim, regardless of amount, may be subject to 
compromise through direct negotiation. A CJA or claims attorney should 
develop expertise in assessing liability and damages, including small 
property damage claims. For example, a property damage claim may be 
compromised by deducting the cost of collection, i.e., attorney fees and 
costs, even where liability is certain.
    (4) Expeditious processing at the lowest level. Claims investigation 
and adjudication should be accomplished at the lowest possible level, 
such as the CPO or ACO that has monetary authority over the estimated 
total value of all claims arising from the incident. The expeditious 
investigation and settlement of claims is essential to successfully 
fulfilling the Army's responsibilities under the claims statutes 
implemented by this part.
    (5) Notice to claimants of technical errors in claim. When technical 
errors are found in a claim's filing or contents, claimants should be 
advised of such errors and the need to correct the claim. If the errors 
concern a jurisdictional matter, a record should be maintained and the 
claimant should be immediately warned that the error must be corrected 
before the statute of limitations (SOL) expires.
    (b) Cooperative investigative environment. Any person who indicates 
a desire to file a claim against the United States cognizable under one 
of the subparts of this part will be instructed concerning the procedure 
to follow. The claimant will be furnished claim forms and, when 
necessary, assisted in completing claim forms, and may be

[[Page 201]]

assisted in assembling evidence. Claims personnel may not assist any 
claimant in determining what amount to claim. During claims 
investigation, every effort should be made to create a cooperative 
environment that engenders the free exchange of information and 
evidence. The goal of obtaining sufficient information to make an 
objective and fair analysis should be paramount. Personal contact with 
claimants or their representatives is essential both during 
investigation and before adjudication. When settlement is not feasible, 
issues in dispute should be clearly identified to facilitate resolution 
of any reconsideration, appeal or litigation.
    (c) Claims directives and plans--(1) Directives. Two copies of 
command claims directives will be furnished to the Commander USARCS. ACO 
directives will be distributed to all DA and DOD commands, installations 
and activities within the ACO's area of responsibility, with an 
information copy to the Commander USARCS.
    (2) Disaster and civil preparedness plan. One copy of all ACOs' 
disaster or civil disturbance plans or annexes will be furnished to the 
Commander USARCS.
    (d) Interpretations. The Commander USARCS will publish written 
interpretations of this part. Interpretations will have the same force 
and effect as this part.
    (e) Authority to grant exceptions to and deviations from this part. 
If, in particular instances, it is considered to be in the best 
interests of the government, the Commander USARCS may authorize 
deviations from this part's specific requirements, except as to matters 
based on statutes, treaties and international agreements, executive 
orders, controlling directives of the Attorney General or Comptroller 
General, or other publications that have the force and effect of law.
    (f) Guidance. The Commander USARCS, may publish bulletins, manuals, 
handbooks and notes, and a DA Pamphlet that provides guidance to claims 
authorities on administrative and procedural rules implementing this 
part. These will be binding on all Army claims personnel.
    (g) Communication. All claims personnel are authorized to 
communicate directly with USARCS personnel for guidance on matters of 
policy or on matters relating to the implementation of this part.
    (h) Private relief bills. The issue of a private relief bill is one 
between a claimant and his or her Congressional representative. There is 
no established procedure under which the DA sponsors private relief 
legislation. Claims personnel shall remain neutral in all private relief 
matters and shall not make any statement that purports to reflect the 
DA's position on a private relief bill.



Sec. 536.16  Release of information policies.

    (a) Conflict of interest. Except as part of their official duties, 
government personnel are forbidden from advising or representing 
claimants or from receiving 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 and 205).
    (b) Release of information. (1) Relevant statutes pertinent to the 
release of information include the Privacy Act of 1974, 5 U.S.C. 552a 
and 552b, the Freedom of Information Act (FOIA), 5 U.S.C. 552 and the 
Health Insurance Portability and Accountability Act (HIPAA), 42 U.S.C. 
1320d through 1320d-8.
    (2) It is the policy of USARCS that unclassified attorney work 
product may be released with or without a request from the claimant or 
attorney, whenever such release may help settle the claim or avoid 
unnecessary litigation.
    (3) A statutory exemption or privilege may not be waived. Similarly, 
documents subject to such statutorily required nondisclosure, exemption, 
or privilege may not be released. Regarding other exemptions and 
privileges, authorities may waive such exemptions or privileges and 
direct release of the protected documents, upon balancing all pertinent 
factors, including finding that release of protected records will not 
harm the government's interest, will promote settlement of a claim and 
will avoid unnecessary litigation, or for other good cause.

[[Page 202]]

    (4) All requests for records and information made pursuant to the 
FOIA, 5 U.S.C. 552, the Privacy Act of 1974, 5 U.S.C. 552a, or HIPAA, 42 
U.S.C. 1320d, will be processed in accordance with the procedures set 
forth in AR 25-55 and AR 340-21, respectively as well as 45 CFR Parts 
160 and 164, DODD 6025.18-R, this part, and DA Pam 27-162.
    (i) Any request for DOD records that either explicitly or implicitly 
cites the FOIA shall be processed under the provisions of AR 25-55. 
Requests for DOD records submitted by a claimant or claimant's attorney 
will be processed under both the FOIA and under the Privacy Act when the 
request is made by the subject of the records requested and those 
records are maintained in a system of records. Such requests will be 
processed under the FOIA time limits and the Privacy Act fee provisions. 
Withheld information must be exempt from disclosure under both Acts.
    (ii) Requests that cite both Acts or neither Act are processed under 
both Acts, using the FOIA time limits and the Privacy Act fee 
provisions. For further guidance, see AR 25-55, paragraphs 1-301 and 1-
503.
    (5) The following records may not be disclosed:
    (i) Medical quality assurance records exempt from disclosure 
pursuant to 10 U.S.C. 1102(a).
    (ii) Records exempt from disclosure pursuant to appropriate 
balancing tests under FOIA exemption (6) (clearly unwarranted invasion 
of personal privacy), exemption (7)(c) (reasonably constitutes 
unwarranted invasion of privacy), and law enforcement records (5 U.S.C. 
Sec. 552(b)) unless requested by the subject of the record.
    (iii) Records protected by the Privacy Act.
    (iv) Records exempt from disclosure pursuant to FOIA exemption (1) 
(National security) (5 U.S.C. 552(b)), unless such records have been 
properly declassified.
    (v) Records exempt from disclosure pursuant to the attorney-client 
privilege under FOIA exemption (5) (5 U.S.C. 552(b)), unless the client 
consents to the disclosure.
    (6) Records within a category for which withholding of the record is 
discretionary (AR 25-55, paragraph 3-101), such as exemptions under the 
deliberative process or attorney work product privileges (exemption (5) 
(5 U.S.C. 552(b)) may be released when there is no foreseeable harm to 
government interests in the judgment of the releasing authority.
    (7) When it is determined that exempt information should not be 
released, or a question as to its releaseability exists, forward the 
request and two copies of the responsive documents to the Commander 
USARCS. The Commander USARCS, acting on behalf of TJAG (the initial 
denial authority), may deny release of records processed under the FOIA 
only. The Commander USARCS, will forward to TJAG all such requests 
processed under both the FOIA and PA. TJAG is the denial authority for 
Privacy Act requests (AR 340-21, paragraph 1-7i).
    (c) Claims assistance. In the vicinity of a field exercise, maneuver 
or disaster, claims personnel may disseminate information on the right 
to present claims, procedures to be followed, and the names and location 
of claims officers and the COE repair teams. When the government of a 
foreign country in which 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 as much pertinent 
information and evidence as security considerations permit.



Sec. 536.17  Single-service claims responsibility (DODD 5515.8 and DODD 

5515.9).

    (a) Assignment for DOD claims. The army is responsible for 
processing DOD claims pursuant to DODD 5515.9 (posted on the USARCS Web 
site; for the address see Sec. 536.2(a)).
    (b) Statutes and agreements. DOD has assigned single-service 
responsibility for the settlement of certain claims in certain 
countries, pursuant to DODD 5515.8 (posted on the USARCS Web site; for 
the address see Sec. 536.2(a)) under the following statutes and 
agreements:
    (1) FCA (10 U.S.C. 2734);
    (2) MCA (10 U.S.C. 2733);
    (3) Status of Forces Agreements (10 U.S.C. 2734a and 2734b);
    (4) NATO SOFA (4 U.S.T. 1792, Treaties and International Acts Series

[[Page 203]]

(T.I.A.S.) 2846) and other similar agreements;
    (5) FCCA (31 U.S.C. 3711-3720E) and FMCRCA (42 U.S.C. 2651-2653);
    (6) Claims not cognizable under any other provision of law, 10 
U.S.C. 2737; and
    (7) Advance payments, 10 U.S.C. 2736.
    (c) Specified foreign countries. Responsibility for the settlement 
of claims cognizable under the laws listed above has been assigned to 
military departments pursuant to DODD 5515.8, as supplemented by 
executive agreement and other competent directives.
    (d) When claims responsibility has not been assigned. When necessary 
to implement contingency plans, the unified or specified commander with 
authority over the geographic area in question may, on an interim basis 
before receiving confirmation and approval from the General Counsel, 
DOD, assign single-service responsibility for processing claims in 
countries where such assignment has not already been made.
    Note to Sec. 536.17: See also Sec. 536.32 for information on 
transferring claims among armed services branches.



Sec. 536.18  Cross-servicing of claims.

    (a) Where claims responsibility has not been assigned. Claims 
cognizable under the FCA or the MCA that are generated by another 
military department within a foreign country for which single-service 
claims responsibility has not been assigned, may be settled by the Army 
upon request of the military department concerned. Conversely, Army 
claims may in appropriate cases be referred to another military 
department for settlement, DODD 5515.8, E1.2 (posted on the USARCS Web 
site; for the address see Sec. 536.2(a)). Tables listing claims offices 
worldwide are posted to the USARCS Web site at that address. U.S. Air 
Force claims offices may be identified by visiting the Web site at 
http://afmove.hq.af.mil/page--afclaims.asp.
    (b) Claims generated by the Coast Guard. Claims resulting from the 
activities of, or generated by, soldiers or civilian employees of the 
Coast Guard while it is operating as a service of the U.S. Department of 
Homeland Security may upon request be settled under this part by a 
foreign claims commission appointed as authorized herein, but they will 
be paid from Coast Guard appropriations, 10 U.S.C. 2734.
    (c) SOFA claims within the United States. Claims cognizable under 
the NATO PFP or Singaporean SOFAs arising out of the activities of 
aircraft within the United States may be investigated and adjudicated by 
the U.S. Air Force under a delegation from the Commander USARCS. Claims 
exceeding the delegated amount will be adjudicated by the USARCS.
    (d) Claims generated by the American Battle Monuments Commission. 
Claims arising out of the activities of or in cemeteries outside the 
United States managed by the American Battle Monuments Commission (36 
U.S.C. 2110) will be investigated and adjudicated by the U.S. Army.
    Note to Sec. 536.18: See also Sec. 536.32 for information on 
transferring claims among armed services branches.



Sec. 536.19  Disaster claims planning.

    All ACOs will prepare a disaster claims plan and furnish a copy to 
USARCS. See DA Pam 27-162, paragraph 1-21 for specific requirements 
related to disaster claims planning.



Sec. 536.20  Claims assistance visits.

    Members of USARCS and command claims services will make claims 
assistance visits to field offices on a periodic basis. See DA Pam 27-
162, paragraph 1-22 for specific requirements related to claims 
assistance visits.



Sec. 536.21  Annual claims award.

    The Commander USARCS will make an annual claims award to outstanding 
field offices. See DA Pam 27-162, para 1-23 for more information on 
annual claims awards.



            Subpart B_Investigation and Processing of Claims



Sec. 536.22  Claims investigative responsibility--General.

    (a) Scope. This subpart addresses the investigation, processing, 
evaluation, and settlement of tort and tort-related claims for and 
against the United States. The provisions of this subpart do not apply 
to personnel claims (AR 27-20, chapter 11), or to claims under

[[Page 204]]

subpart G of this part, Sec. Sec. 536.114 through 536.116.
    (b) Cooperation. Claims investigation requires team effort between 
the U.S. Army Claims Service (USARCS), command claims services, and area 
claims offices (ACOs) including U.S. Army Corps of Engineers (COE) 
District Offices, claims processing offices (CPOs), and unit claims 
officers. Essential to this effort is the immediate investigation of 
claims incidents. Prompt investigation depends on the timely reporting 
of claims incidents as well as continuous communication between all 
commands or echelons bearing claims responsibility.
    (c) Notification to USARCS. A CPO or an ACO receiving notice of a 
potentially compensable event (PCE) that requires investigation will 
immediately refer it to the appropriate claims office. The Commander 
USARCS will be notified of all major incidents involving serious injury 
or death or those in which property damage exceeds $50,000. A command 
claims service may delegate to an ACO the responsibility for advising 
USARCS of serious incidents and complying with mirror file requirements. 
A copy of the written delegation and any changes made thereafter will be 
forwarded to the Commander USARCS.
    (d) Geographic concept of responsibility. A command claims service 
or an ACO in whose geographic area a claims incident occurs is primarily 
responsible for initiating investigation and processing of any claim 
filed in the absence of a formal transfer of responsibility (see 
Sec. Sec. 536.30 through 536.36). DOD and Army organizations whose 
personnel are involved in the incident will cooperate with and assist 
the ACO, regardless of where the former may be located.
    Note to Sec. 536.22: See the parallel discussion at DA Pam 27-162, 
paragraph 2-1.



Sec. 536.23  Identifying claims incidents both for and against the government.

    (a) Investigation is required when:
    (1) There is property loss or damage.
    (i) Property other than that belonging to the government is damaged, 
lost, or destroyed by an act or omission of a government employee or a 
member of North Atlantic Treaty Association (NATO), Australian or 
Singaporean forces stationed or on temporary duty within the United 
States.
    (ii) Property belonging to the government is damaged or lost by a 
tortious act or omission not covered by the report of survey system or 
by a carrier's bill of lading.
    (2) There is personal injury or death.
    (i) A civilian other than an employee of the U.S. government is 
injured or killed by an act or omission of a government employee or by a 
member of a NATO, Australian or Singaporean force stationed or on 
temporary duty within the United States. (This category includes 
patients injured during treatment by a health care provider).
    (ii) Service members, active or retired, family members of either, 
or U.S. employees, are injured or killed by a third party and receive 
medical care at government expense.
    (3) A claim is filed.
    (4) A competent authority or another armed service or federal agency 
requires investigation.
    (b) Determining who is a government employee is a matter of federal, 
not local, law. Categories of government employees usually accepted as 
tortfeasors under federal law are:
    (1) Military personnel (soldiers of the Army, or members of other 
services where the Army exercises single-service jurisdiction on foreign 
soil; and soldiers or employees within the United States who are members 
of NATO or of other foreign military forces with whom the United States 
has a reciprocal claims agreement and whose sending States have 
certified that they were acting within the scope of their duty) who are 
serving on full-time active duty in a pay status, including soldiers:
    (i) Assigned to units performing active or inactive duty.
    (ii) Serving on active duty as Reserve Officer Training Corps (ROTC) 
instructors.
    (iii) Serving as Army National Guard (ARNG) instructors or advisors.
    (iv) On duty or training with other federal agencies, for example: 
the National Aeronautics and Space Administration, the Department of 
State, the Navy, the Air Force, or DOD (federal agencies other than the 
armed service

[[Page 205]]

to which the Soldier is attached may also provide a remedy).
    (v) Assigned as students or ordered into training at a non-federal 
civilian educational institution, hospital, factory, or other facility 
(excluding soldiers on excess leave or those for whom the training 
institution or organization has assumed liability by written agreement).
    (vi) Serving on full-time duty at nonappropriated fund (NAF) 
activities.
    (vii) Of the United States Army Reserve (USAR) and ARNG on active 
duty under Title 10, U.S.C.
    (2) Military personnel who are United States Army Reserve soldiers 
including ROTC cadets who are Army Reserve soldiers while at annual 
training, during periods of active duty and inactive duty training.
    (3) Military personnel who are soldiers of the ARNG while engaged in 
training or duty under 32 U.S.C. 316, 502, 503, 504, 505, or engaged in 
properly authorized community action projects under the Federal Tort 
Claims Act (FTCA), the Non-Scope Claims Act (NSCA), or the National 
Guard Claims Act (NGCA), unless performing duties in furtherance of a 
mission for a state, commonwealth, territory or possession.
    (4) Civilian officials and employees of both the DOD and DA (there 
is no practical significance to the distinction between the terms 
``official'' and ``employee''), including but not limited to the 
following:
    (i) Civil service and other full-time employees of both the DOD and 
DA who are paid from appropriated funds.
    (ii) Persons providing direct health care services pursuant to 
personal service contracts under 10 U.S.C. 1089 or 1091 or where another 
person exercised control over the health care provider's day-to-day 
practice. When the conduct of a health care provider performing services 
under a personal service contract is implicated in a claim, the CJA, 
Medical Claims Judge Advocate (MCJA), or claims attorney should consult 
with USARCS to determine if that health care provider can be considered 
an employee for purposes of coverage.
    (iii) Employees of a NAF instrumentality (NAFI) if it is an 
instrumentality of the United States and thus a federal agency. To 
determine whether a NAFI is a ``federal agency,'' consider both whether 
it is an integral part of the Army charged with an essential DA 
operational function and also what degree of control and supervision DA 
personnel exercise over it. Members or users, unlike employees of NAFIs, 
are not considered government employees; the same is true of family 
child care providers. However, claims arising out of the use of some 
NAFI property or from the acts or omissions of family child care 
providers may be payable from such funds under subpart K of this part as 
a matter of policy, even when the user is not acting within the scope of 
employment and the claim is not otherwise cognizable under any of the 
other authorities described in this part.
    (5) Prisoners of war and interned enemy aliens.
    (6) Civilian employees of the District of Columbia ARNG, including 
those paid under ``service contracts'' from District of Columbia funds.
    (7) Civilians serving as ROTC instructors paid from federal funds.
    (8) ARNG technicians employed under 32 U.S.C. 709(a) for claims 
accruing on or after January 1, 1969 (Public Law 90-486, August 13, 1968 
(82 Stat. 755)), unless performing duties solely in pursuit of a mission 
for a state, commonwealth, territory or possession.
    (9) Persons acting in an official capacity for the DOD or DA either 
temporarily or permanently with or without compensation, including but 
not limited to the following:
    (i) Dollar-a-year personnel.
    (ii) Members of advisory committees, commissions, or boards.
    (iii) Volunteers serving in an official capacity in furtherance of 
the business of the United States, limited to those categories set forth 
in DA Pam 27-162, paragraph 2-45.
    Note to Sec. 536.23: See the parallel discussion at DA Pam 27-162, 
paragraph 2-2.



Sec. 536.24  Delegation of investigative responsibility.

    (a) Area Claims Office. An ACO is authorized to carry out its 
investigative responsibility as follows:
    (1) At the request of the area claims authority, commanders and 
heads of

[[Page 206]]

Army and DOD units, activities, or components will appoint a 
commissioned, warrant, or noncommissioned officer or a qualified 
civilian employee to investigate a claims incident in the manner set 
forth in DA Pam 27-162 and this part. An ACO will direct such 
investigation to the extent deemed necessary.
    (2) CPOs are responsible for investigating claims incidents arising 
out of the activities and operations of their command or agency. An ACO 
may assign area jurisdiction to a CPO after coordination with the 
appropriate commander to investigate claims incidents arising in the 
ACO's designated geographic area. (See Sec. 536.3(f).)
    (3) Claims incidents involving patients arising from treatment by a 
health care provider in an Army medical treatment facility (MTF), 
including providers defined in 536.23(b)(4)(ii), will be investigated by 
a claims judge advocate (CJA), medical claims judge advocate (MCJA), or 
claims attorney rather than by a unit claims officer.
    (4) An ACO will publish and distribute a claims directive to all DOD 
and Army installations and activities including active, Army Reserve, 
and ARNG units as well as units located on the post at which the ACO is 
located. The directive will outline each installations' and activities' 
claims responsibilities. It will institute a serious claims incident 
reporting system.
    (b) Command claims service responsibility. A command claims service 
is responsible for the investigation and processing of claims incidents 
arising in its geographic area of responsibility or for any incidents 
within the authority of any foreign claims commission (FCC) it appoints. 
This responsibility will be carried out by an ACO or a CPO to the extent 
possible. A command claims service will publish a claims directive 
outlining the geographic areas of claims investigative responsibilities 
of each of its installations and activities, requiring each ACO or CPO 
to report all serious claims incidents directly to the Commander USARCS.
    (c) USARCS responsibility. USARCS exercises technical supervision 
over all claims offices, providing guidance on specific cases throughout 
the claims process, including the method of investigation. Where 
indicated, USARCS may investigate a claims incident that normally falls 
within a command claims services', an ACO's, or a CPO's jurisdiction. 
USARCS typically acts through an area action officer (AAO) who is 
assigned as the primary point of contact with command claims services, 
ACOs or CPOs within a given geographic area. In areas outside the United 
States and its commonwealths, territories and possessions, where there 
is no command claims service or ACO, USARCS is responsible for 
investigation and for appointment of FCCs.

    Note to Sec. 536.24: See the parallel discussion at DA Pam 27-162, 
paragraph 2-3.



Sec. 536.25  Procedures for accepting claims.

    All ACOs and CPOs will institute procedures to ensure that potential 
claimants or attorneys speak to a CJA, claims attorney, investigator, or 
examiner. On initial contact, claims personnel will render assistance, 
discuss all aspects of the potential claim, and determine what statutes 
or procedures apply. Assistance will be furnished to the extent set 
forth in DA Pam 27-162, paragraph 2-4. To advise claimants on the 
correct remedy, claims personnel will familiarize themselves with the 
remedies listed in DA Pam 27-162, paragraphs 2-15 and 2-17.



Sec. 536.26  Identification of a proper claim.

    (a) A claim is a writing that contains a sum certain for each 
claimant and that is signed by each claimant, or by an authorized 
representative, who must furnish written authority to sign on a 
claimant's behalf. The writing must contain enough information to permit 
investigation. The writing must be received not later than two years 
from the date the claim accrues. A claim under the Foreign Claims Act 
(FCA) may be presented orally to either the United States or the 
government of the foreign country in which the incident occurred, within 
two years, provided that it is reduced to writing not later than three 
years from the date of accrual. A claim may be transmitted by facsimile 
or telegram. However, a copy of an original claim must be submitted as 
soon as possible.

[[Page 207]]

    (b) Where a claim is only for property damage and it is filed under 
circumstances where there might be injuries, the CJA should inquire if 
the claimant desires to split the claim as discussed in Sec. 536.60.
    (c) Normally, a claim will be presented on a Standard Form (SF) 95 
(Claim for Damage, Injury, or Death). When the claim is not presented on 
an SF 95, the claimant will be requested to complete an SF 95 to ease 
investigation and processing.
    (d) If a claim names two claimants and states only one sum certain, 
the claimants will be requested to furnish a sum certain for each. A 
separate sum certain must be obtained prior to payment under the Federal 
Tort Claims Act (FTCA), Military Claims Act (MCA), National Guard Claims 
Act (NGCA) or the FCA. The Financial Management Service will only pay an 
amount above the threshold amount of $2,500 for the FTCA, or $100,000 
for the other statutes.
    (e) A properly filed claim meeting the definition of ``claim'' in 
paragraph (a) of this section tolls the two-year statute of limitations 
(SOL) even though the documents required to substantiate the claim are 
not present, such as those listed on the back of an SF 95 or in the 
Attorney General's regulations implementing the FTCA, 28 CFR 14.1--
14.11. However, refusal to provide such documents may lead to dismissal 
of a subsequent suit under the FTCA or denial of a claim under other 
subparts of this part.
    (f) Receipt of a claim by another federal agency does not toll the 
SOL. Receipt of a U.S. Army claim by DOD, Navy, or Air Force does toll 
the SOL.
    (g) The guidelines set forth in federal FTCA case law will apply to 
other subparts of this part in determining whether a proper claim was 
filed.
     Note to Sec. 536.26: See the parallel discussion at DA Pam 27-162, 
paragraph 2-5.



Sec. 536.27  Identification of a proper claimant.

    The following are proper claimants:
    (a) Claims for property loss or damage. A claim may be presented by 
the owner of the property or by a duly authorized agent or legal 
representative in the owner's name. As used in this part, the term 
``owner'' includes the following:
    (1) For real property. The mortgagor, mortgagee, executor, 
administrator, or personal representative, if he or she may maintain a 
cause of action in the local courts involving a tort to the specific 
property, is a proper claimant. When notice of divided interests in real 
property is received, the claim should if feasible be treated as a 
single claim and a release from all interests must be obtained. This 
includes both the owner and tenant where both claim.
    (2) For personal property. A claim may be presented by a bailee, 
lessee, mortgagee, conditional vendor, or others holding title for 
purposes of security only, unless specifically prohibited by the 
applicable subpart. When notice of divided interests in personal 
property is received, the claim should if feasible be treated as a 
single claim; a release from all interests must be obtained. Property 
loss is defined as loss of actual tangible property, not consequential 
damage resulting from such loss.
    (b) Claims for personal injury or wrongful death--(1) For personal 
injury. A claim may be presented by the injured person or by a duly 
authorized agent or legal representative or, where the claimant is a 
minor, by a parent or a person in loco parentis. However, determine 
whether the claimant is a proper claimant under applicable state law or, 
if considered under the MCA, under Sec. 536.77. If not, the claimant 
should be so informed in the acknowledgment letter and requested to 
withdraw the claim. If not withdrawn, deny the claim without delay. An 
example is a claim filed on behalf of a minor for loss of consortium for 
injury to a parent where not permitted by state law. Personal injury 
claims deriving from the principal injury may be presented by other 
parties. A claim may not be presented by a ``volunteer,'' meaning one 
who has no legal or contractual obligation, yet voluntarily pays damages 
on behalf of an injured party and then seeks reimbursement for their 
economic damages by filing a claim. See paragraph (f) (3) of this 
section.
    (2) For wrongful death. A claim may be presented by the executor or 
administrator of the deceased's estate, or by any person determined to 
be legally or

[[Page 208]]

beneficially entitled under applicable local law. The amount allowed 
will be apportioned, to the extent practicable, among the beneficiaries 
in accordance with the law applicable to the incident. Under the MCA 
(subpart C of this part), only one wrongful death claim is authorized 
(see Sec. 536.77(c)(1)(i)). Under subparts D and H of this part, a 
claim by the insured for property damage may be considered as a claim by 
the insurer as the real party in interest provided the insured has been 
reimbursed by the insurer and the insurance information is listed on the 
SF 95. The insurer should be required to file a separate SF 95 for 
payment purposes even though the SOL has expired. Where the insurance 
information is not listed on the SF 95 and the insured is paid by the 
United States, the payment of the insurer is the responsibility of the 
insured even though the insurer subsequently files a timely claim. To 
avoid this situation, always inquire as to the status of any insurance 
prior to payment of a property damage claim.
    (c) By an agent or legal representative. A claimant's agent or legal 
representative who presents a claim will do so in the claimant's name 
and sign the form in such a way that indicates the agent's or legal 
representative's title or capacity. When a claim is presented by an 
agent or legal representative:
    (1) It must contain written evidence of the agent's or legal 
representative's authority to sign, such as a power of attorney, or
    (2) It must refer to or cite the statute granting authority.
    (d) Subrogation. A claim may be presented by the subrogee in his or 
her own name if authorized by the law of the place where the incident 
giving rise to the claim occurred, under subpart D or H of this part 
only. A lienholder is not a proper claimant and should be distinguished 
from a subrogee to avoid violation of the Antiassignment Act. See 
paragraph (f) of this section. However, liens arising under Medicare 
will be processed directly with the Center for Medicare and Medicaid 
Systems. See DA Pam 27-162, paragraphs 2-57g and h and 2-58.
    (e) Contribution or indemnity. A claim may be filed for contribution 
or indemnification by the party who was held liable as a joint 
tortfeasor where authorized by state law. Such a claim is not perfected 
until payment has been made by the claimant/joint tortfeasor. A claim 
filed for contribution prior to payment being made should be considered 
as an opportunity to share a settlement where the United States is 
liable.
    (f) Transfer or assignment. (1) Under the Antiassignment Act (31 
U.S.C. 3727) and Defense Finance and Accounting Service--Indianpolis 
(DFAS-IN) regulation 37-1, a transfer or assignment is null and void 
except where it occurs by operation of law or after a voucher for the 
payment has been issued. The following are null and void:
    (i) Every purported transfer or assignment of a claim against the 
United States, or any interest, in whole or in part, on a claim, whether 
absolute or conditional; and
    (ii) Every power of attorney or other purported authority to receive 
payment for all or part of any such claim.
    (2) The Antiassignment Act was enacted 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 that arise under a statute are not barred by 
the Antiassignment Act. For example, subrogated workers' compensation 
claims are cognizable when presented by the insurer under subpart D or H 
of this part, but not other subparts.
    (4) Subrogated claims that arise pursuant to contractual provisions 
may be paid to the subrogee, if the legal basis for the subrogated claim 
is recognized by state statute or case law, only under subpart D or H of 
this part. For example, an insurer that issues an insurance

[[Page 209]]

policy becomes subrogated to the rights of a claimant who receives 
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 a federal or state statute 
or a subrogation contract held valid by state law.
    (g) Interdepartmental waiver rule. Neither the U.S. government nor 
any of its instrumentalities are proper claimants due to the 
interdepartmental waiver rule. This rule bars claims by any organization 
or activity of the Army, whether or not the organization or activity is 
funded with appropriated or nonappropriated funds. Certain federal 
agencies are authorized by statute to file claims, for example, Medicare 
and the Railroad Retirement Commission. See DA Pam 27-162, paragraph 2-
17f.
    (h) States are excluded. If a state, U.S. commonwealth, territory, 
or the District of Columbia maintains a unit to which ARNG personnel 
causing the injury or damage are assigned, such governmental entity is 
not a proper claimant for loss or damage to its property. A unit of 
local government other than a state, commonwealth, or territory is a 
proper claimant.
     Note to Sec. 536.27: See the parallel discussion at DA Pam 27-162, 
paragraph 2-6.



Sec. 536.28  Claims acknowledgment.

    Claims personnel will acknowledge all claims immediately upon 
receipt, in writing, by telephone, or in person. A defective claim will 
be acknowledged in writing, pointing out its defects. Where the defects 
render the submission jurisdictionally deficient based on the 
requirements discussed in DA Pam 27-162, paragraphs 2-5 and 2-6, the 
claimant or attorney will be informed in writing of the need to present 
a proper claim no later than two years from the date of accrual. Suit 
must be filed in maritime claims not later than two years from the date 
of accrual. See Sec. 536.122. In any claim for personal injury or 
wrongful death, an authorization signed by the patient, natural or legal 
guardian or estate representative will be obtained authorizing the use 
of medical information, including medical records, in order to use 
sources other than claims personnel to evaluate the claim as required by 
the Health Care Portability and Accountability Act (HIPAA), 42 U.S.C. 
1320d-1320d-8. See the parallel discussion at DA Pam 27-162, paragraph 
2-7.



Sec. 536.29  Revision of filed claims.

    (a) General. A revision or change of a previously filed claim may 
constitute an amendment or a new claim. Upon receipt, the CJA must 
determine whether a new claim has been filed. If so, the claim must be 
logged with a new number and acknowledged in accordance with Sec. 
536.27.
    (b) New claim. A new claim is filed whenever the writing alleges a 
new theory of liability, a new tortfeasor, a new party claimant, a 
different date or location for the claims incident, or other basic 
element that constitutes an allegation of a different tort not 
originally alleged. If the allegation is made verbally or by e-mail, the 
claimant will be informed in writing that a new SF 95 must be filed. A 
new claim must be filed not later than two years from the accrual date 
under the FTCA. Filing a new claim creates an additional six month 
period during which suit may not be filed.
    (c) Amendment. An increase or decrease in the amount claimed 
constitutes an amendment, not a new claim. Similarly, the addition of 
required information not on the original claim constitutes an amendment. 
Examples are date of birth, marital status, military status, names of 
witnesses, claimant's address, description, or location of property or 
insurance information. An amendment may be filed before or after the two 
year SOL has run unless final action has been taken. A new number will 
not be assigned to an amended claim; however, a change in the amount 
will be annotated in the database.
     Note to Sec. 536.29: See the parallel discussion at DA Pam 27-162, 
paragraph 2-8.



Sec. 536.30  Action upon receipt of claim.

    (a) A properly filed claim stops the running of the SOL when it is 
received by any organization or activity of the

[[Page 210]]

DOD or the U.S. Armed Services. Placing a claim in the mail does not 
constitute filing. The first Army claims office that receives the claim 
will date, time stamp, and initial the claim as of the date the claim 
was initially received ``on post,'' not by the claims office. If 
initially received close to the SOL's expiration date by an organization 
or activity that does not have a claims office, claims personnel will 
discover and record in the file the date of original receipt.
    (b) The ACO or CPO that first receives the claim will enter the 
claim into the Tort and Special Claims Application (TSCA) database and 
let the system assign a number to the claim. The claim, whether on an SF 
95 or in any other format, shall be scanned into a computer and uploaded 
onto the TSCA database so that it will become a permanent part of the 
electronic record. A joint claim will be given a number for each 
claimant, for example, husband and wife, injured parent and children. If 
only one sum is filed for all claimants, the same sum will be assigned 
for each claimant. However, request the claimant to name a sum for each 
claimant. The claim will bear this number throughout the claims process. 
Upon transfer, a new number will not be assigned by the receiving 
office. If a claim does not meet the definition of a proper claim under 
Sec. Sec. 536.26 and 536.27, it will be date stamped and logged as a 
Potentially Compensable Event (PCE).
    (c) The claim will be transferred if the claim incident arose in 
another ACO's geographic area; the receiving ACO will use the claims 
number originally assigned.
    (d) Non-Appropriated Fund Instrumentality (NAFI) claims that relate 
to claims determined cognizable under subpart K of this part will be 
marked with the symbol ``NAFI'' immediately following the claimant's 
name, to preclude erroneous payment from appropriated funds (APF). This 
symbol will also be included in the subject line of all correspondence.
    (e) Upon receipt, copies of the claims will be furnished as follows 
(when a current e-mail address is available and it is agreeable with the 
receiving party, providing copies by e-mail is acceptable):
    (1) To USARCS, if the amount claimed exceeds $25,000, or $50,000 per 
incident. However, if the claim arises under the FTCA or AMCSA, only 
furnish copies if the amount claimed exceeds $50,000, or $100,000 per 
incident.
    (2) For medical malpractice claims, to the appropriate MTF 
Commander/s through MEDCOM Headquarters, and to the Armed Forces 
Institute of Pathology at the addresses listed below.
    MEDCOM, ATTN: MCHO-CL-Q, 2050 Worth Road, Suite 26, Fort Sam 
Houston, TX 78234-5026.
    Department of Legal Medicine, Armed Forces Institute of Pathology, 
1335 E. West Highway, 6-100, Silver Spring, MD 20910-6254, 
Commercial: 301-295-8115, e-mail: [email protected].
    (3) If the claim is against AAFES forward a copy to: HQ Army and Air 
Force Exchange Service (AAFES), ATTN: Office of the General Counsel (GC-
Z), P.O. Box 650062, Dallas, TX 75265-0062, e-mail: [email protected].
    (4) If the claim involves a NAFI, including a recreational user or 
family child care provider forward a copy to: Army Central Insurance 
Fund, ATTN: CFSC-FM-I, 4700 King Street, Alexandria, VA 22302-4406, e-
mail: [email protected].
    (f) ACOs or CPOs will furnish a copy of any medical or dental 
malpractice claim to the MTF or dental treatment facility commander and 
advise the commander of all subsequent actions. The commander will be 
assisted in his or her responsibility to complete DD Form 2526 (Case 
Abstract for Malpractice Claims).
     Note to Sec. 536.30: See the parallel discussion at DA Pam 27-162, 
paragraph 2-9.



Sec. 536.31  Opening claim files.

    A claim file will be opened when:
    (a) Information that requires investigation under Sec. 536.23 is 
received.
    (b) Records or other documents are requested by a potential claimant 
or legal representative.
    (c) A claim is filed.
     Note to Sec. 536.31: See the parallel discussion at DA Pam 27-162, 
paragraph 2-10.



Sec. 536.32  Transfer of claims among armed services branches.

    (a) Claims filed with the wrong federal agency, or claims that 
should be

[[Page 211]]

adjudicated by receiving State offices under NATO or other SOFA, will be 
immediately transferred to the proper agency together with notice of 
same to the claimant or legal representative. Where multiple federal 
agencies are involved, other agencies will be contacted and a lead 
agency established to take all actions on the claim. Where the DA is the 
lead agency, any final action will include other agencies. Similarly, 
where another agency is the lead agency, that agency will be requested 
to include DA in any final action. Such inclusion will prevent multiple 
dates for filing suit or appeal.
    (b) If another agency has taken denial action on a claim that 
involves the DA, without informing the DA, and in which the DA desires 
to make a payment, the denial action may be reconsidered by the DA not 
later than six months from the date of mailing and payment made 
thereafter.
     Note to Sec. 536.32: See also Sec. Sec. 536.17 and 536.18; AR 27-
20, paragraph 13-2; and the parallel and related discussion of this 
topic at DA Pam 27-162, paragraphs 1-19, 1-20, 2-13 and 13-2.



Sec. 536.33  Use of small claims procedures.

    Small claims procedures are authorized for use whenever a claim may 
be settled for $5,000 or less. These procedures are designed to save 
processing time and eliminate the need for most of the documentation 
otherwise required. These procedures are described in DA Pam 27-162, 
paragraphs 2-14 and 2-26.



Sec. 536.34  Determination of correct statute.

    (a) Consideration under more than one statute. When Congress enacted 
the various claims statutes, it intended to allow federal agencies to 
settle meritorious claims. A claim must be considered under other 
statutes in this part unless one particular statute precludes the use of 
other statutes, whether the claim is filed on DD Form 1842 (Claim for 
Loss of or Damage to Personal Property Incident to Service) or SF 95. 
Prior to denial of an AR 27-20, chapter 11 claim, consider whether it 
may fall within the scope of subparts C, D, or F of this part, and where 
indicated, question the claimant to determine whether the claim sounds 
in tort.
    (b) Exclusiveness of certain remedies. Certain remedies exclude all 
others. For example, the Court of Federal Claims has exclusive 
jurisdiction over U.S. Constitution Fifth Amendment takings, express or 
implied-in-fact, as well as governmental contract losses, or intangible 
property losses. Claims of this nature for $10,000 or less may be filed 
in a U.S. District Court. There is no administrative remedy. While the 
FTCA is the preemptive tort remedy in the United States, its 
commonwealths, territories and possessions, nevertheless, other remedies 
must be exhausted prior to favorable consideration under the FTCA. The 
FTCA does not preclude use of the MCA or the NGCA for claims arising out 
of noncombat activities or brought by soldiers for incident-to-service 
property losses sustained within the United States. See DA Pam 27-162, 
paragraphs 2-15a and b for a more detailed discussion of determining the 
correct statute for property claims versus personal injury and death 
claims. In addition, it is important to consider the nature of the 
claim, e.g., whether the claim may be medical malpractice in nature, 
related to postal matter, or an automobile accident. Discussions of 
these and many other different types of claims are also provided herein 
as well as in the corresponding paragraph 2-15 of DA Pam 27-162. It is 
also very important to consider when a claim may fall outside the 
jurisdiction of the Army claims system. Some of these instances are 
alluded to immediately above, but for a detailed discussion of related 
remedies see Sec. 536.36 of this part and paragraph 2-17 of DA Pam 27-
162.
    (c) Status of Forces Agreement claims. (1) Claims arising out of the 
performance of official duties in a foreign country where the United 
States is the sending State must be filed and processed under a SOFA, 
provided that the claimant is a proper party claimant under the SOFA. DA 
Pam 27-162, paragraph 2-15c sets forth the rules applicable in 
particular countries. A SOFA provides an exclusive remedy subject to 
waiver as set forth in Sec. 536.76(h) of this part.

[[Page 212]]

    (2) Single-service jurisdiction is established for all foreign 
countries in which a SOFA is in effect and for certain other countries. 
A list of these countries is posted on the USARCS Web site; for the 
address see Sec. 536.2(a). Claims will be processed by the service 
exercising single-service responsibility. In the United States, USARCS 
is the receiving State office and all SOFA claims should be forwarded 
immediately to USARCS for action. Appropriate investigation under 
subpart B of this part procedures is required of an ACO or a CPO under 
USARCS' direction.
    (d) Foreign Claims Act claims. (1) Claims by foreign inhabitants, 
arising in a foreign country, which are not cognizable under a SOFA, 
fall exclusively under the FCA. The determination as to whether a 
claimant is a foreign inhabitant is governed by the rules set out in 
subpart C and subpart J of this part. In case of doubt, this 
determination must be based on information obtained from the claimant 
and others, particularly where the claimant is a former U.S. service 
member or a U.S. citizen residing in a foreign country.
    (2) Tort claims will be processed by the armed service that 
exercises single-service responsibility. When requested, the Commander 
USARCS may furnish a Judge Advocate or civilian attorney to serve as a 
Foreign Claims Commission (FCC) for another service. With the 
concurrence of the Commander USARCS, Army JAs may be appointed as 
members of another department's foreign claims commissions. See subpart 
J of this part. The FCA permits compensation for damages caused by 
``out-of-scope'' tortious conduct of Soldier and civilian employees. 
Many of these claims are also compensable under Article 139, Uniform 
Code of Military Justice. See DA Pam 27-162, chap. 9. To avoid the 
double payment of claims, ACOs and CPOs must promptly notify the Command 
Claims Service of each approved Article 139 claim involving a claimant 
who could also file under an applicable SOFA.
    (e) National Guard Claims Act claims. (1) Claims attributed to the 
acts or omissions of ARNG personnel in the course of employment fall 
into the categories set forth in subpart F of this part.
    (2) An ACO will establish with a state claims office routine 
procedures for the disposition of claims, designed to ensure that the 
United States and state authorities do not issue conflicting 
instructions for processing claims. The procedures will require 
personnel to advise the claimant of any remedy against the state or its 
insurer.
    (i) Where the claim arises out of the act or omission of a member of 
the ARNG or a person employed under 32 U.S.C. 709, it must be determined 
whether the employee is acting on behalf of the state or the United 
States. For example, an ARNG pilot employed under section 709 may be 
flying on a state mission, federal mission, or both, on the same trip. 
This determination will control the disposition of the claim. If 
agreement with the concerned state cannot be reached and the claim is 
otherwise payable, efforts may be made to enter into a sharing agreement 
with the state concerned. The following procedures are required in the 
event there is a remedy against the state and the state refuses to pay 
or the state maintains insurance coverage and the claimant has filed an 
administrative claim against the United States. First, forward the file 
and the tort claim memorandum, including information on the status of 
any judicial or administrative action the claimant has taken against the 
state or its insurer to the Commander USARCS. Upon receipt, the 
Commander USARCS will determine whether to require the claimant to 
exhaust his or her remedy against the state or its insurer or whether 
the claim against the United States can be settled without requiring 
such exhaustion. If the Commander USARCS decides to follow the latter 
course of action, he or she will also determine whether to obtain an 
assignment of the claim against the state or its insurer and whether to 
initiate recovery action to obtain contribution or indemnification. The 
state or its insurer will be given appropriate notification in 
accordance with state law.
    (ii) If an administrative claim remedy exists under state law or the 
state maintains liability insurance, the Commander USARCS or an ACO 
acting

[[Page 213]]

upon the Commander USARCS' approval may enter into a sharing agreement 
covering payment of future claims. The purpose of such an agreement is 
to determine in advance whether the state or the DA is responsible for 
processing a claim (did the claim arise from a federal or state 
mission?), to expedite payment in meritorious claims, and to preclude 
double recovery by a claimant.
    (f) Third-party claims involving an independent contractor--(1) 
Generally. (i) Upon receipt, all claims will be examined to determine 
whether a contractor of the United States is the tortfeasor. If so, the 
claimant or legal representative will be notified of the name and 
address of the contractor and further advised that the United States is 
not responsible for the acts or omissions of an independent contractor. 
This will be done prior to any determination as to the contractor's 
degree of culpability as compared to that of the United States.
    (ii) If, upon investigation, the damage is considered to be 
primarily due to the contractor's fault or negligence, the claim will be 
referred to the contractor or the contractor's insurance carrier for 
settlement and the claimant will be so advised.
    (iii) Health care providers hired under personal services contracts 
under the provisions of 10 U.S.C. 1089 are not considered to be 
independent contractors but employees of the United States for tort 
claims purposes.
    (2) Claims for injury or death of contractor employees. Upon receipt 
of a claim for injury or death of a contractor employee, a copy of the 
portions of the contract applicable to claims and workers' compensation 
will be obtained, either through the contracting office or from the 
contractor. Claims personnel must find out the status of any claim for 
workers' compensation benefits as well as whether the United States paid 
the premiums. The goal is to involve the contractor in any settlement, 
where indicated, in the manner set forth in DA Pam 27-162, paragraphs 2-
15f and 2-61. In claims arising in foreign countries consider whether 
the claim is covered by the Defense Bases Act, 42 U.S.C. 1651-1654.
    (g) Claims by contractors for damage to or loss of their property 
during the performance of their contracts. Claims by contractors for 
property damage or loss should be referred to the contracting officer 
for determination as to whether the claim is payable under the contract. 
Such a claim is not payable under the FTCA where the damage results from 
an in-scope act or omission. Contract appeal procedures must be 
exhausted prior to consideration as a bailment under the MCA or FCA.
    (h) Maritime claims. Maritime torts are excluded from consideration 
under the FTCA. The various maritime statutes are exclusive remedies 
within the United States and its territorial waters. Maritime statutes 
include the Army Maritime Claims Settlement Act (AMCSA), 10 U.S.C. 4801, 
4802 and 4806, the Suits in Admiralty Act (SIAA), 46 U.S.C. app. 781-
790, the Public Vessels Act (PVA), 46 U.S.C. app. 781-790, and the 
Admiralty Extension Act (AEA), 46 U.S.C. app. 740. Within the U.S. and 
its territorial waters, maritime suits may be filed under the SIAA or 
the PVA without first filing an administrative claim, except where 
administrative filing is required by the AEA. Administrative claims may 
also be filed under the AMSCA. In any administrative claim brought under 
the AMCSA, all action must be completed not later than two years from 
its accrual date or the SOL will expire. Outside the United States, a 
maritime tort may be brought under the MCA or FCA as well as the AMCSA. 
The body of water on which it occurs must be navigable and a maritime 
nexus must exist. Once a maritime claim is identified, give the claimant 
written notice of the two-year filing requirement. In case of doubt, the 
ACO or CPO should discuss the matter with the appropriate AAO. Even when 
the claimant does not believe that a maritime claim is involved, provide 
the claimant with precautionary notice. See DA Pam 27-162, paragraphs 2-
7e and 8-6.
    (i) Postal claims. See also DA Pam 27-162, paragraphs 2-15i, 2-30 
and 2-56g discussing postal claims.
    (1) Claims by the U.S. Postal Service for funds and stock are 
adjudicated by USARCS with assistance from the Military Postal Service 
Agency and the

[[Page 214]]

ACO or CPO having jurisdiction over the particular Army post office, 
when directed by USARCS to assist in the investigation of the claim.
    (2) Claims for loss of registered and insured mail are processed 
under subpart C of this part by the ACO or CPO having jurisdiction over 
the particular Army post office.
    (3) Claims for loss of, or damage to, parcels delivered by United 
Parcel Service (UPS) are the responsibility of UPS.
    (j) Blast damage claims. After completing an investigation and prior 
to final action, all blast damage claims resulting from Army firing and 
demolition activities must be forwarded to the Commander USARCS for 
technical review. The sole exception to this rule is when a similar 
claim is filed citing the same time, place and type of damage as one 
which has already received technical review. See also DA Pam 27-162, 
paragraph 2-28.
    (k) Motor vehicle damage claims arising from the use of non-
governmental vehicles. See also Sec. 536.60 (splitting property damage 
and personal injury claims) and DA Pam 27-162, paragraphs 2-15k 
(determining the correct statute), 2-61 (joint tort feasors), and 2-62e 
(indemnity or contribution).
    (1) Government tortfeasors. A Soldier or U.S. government civilian 
employee who negligently damages his or her personal property while 
acting within the scope of employment is not a proper claimant for 
damage to that property.
    (2) Claims by lessors for damage to rental vehicles. Third-party 
claims arising from the use of rental vehicles will be processed in the 
same manner as NAFI commercially insured activities after exhaustion of 
any other remedy under the Government Travel Card Program or the Surface 
Deployment and Distribution Command Car Rental Agreement.
    (3) Third-party damages arising from the use of privately owned 
vehicles. Third-party tort claims arising within the United States from 
a Soldier's use of a privately owned vehicle (POV) while allegedly 
within the scope of employment must be forwarded to the Commander USARCS 
for review and consultation before final action. The claim will be 
investigated and any authorization for use ascertained including payment 
for mileage. A copy of the Soldier's POV insurance policy will be 
obtained prior to forwarding. If the DA is an additional insurer under 
applicable state law, the claim will be forwarded to the Soldier's 
liability carrier for payment. When the tort claim arises in a foreign 
country, follow the provisions of subpart J of this part.
    (l) Claims arising from gratuitous use of DOD or Army vehicles, 
equipment or facilities. (1) Before the commencement of any event that 
involves the use of DOD or Army land, vehicles, equipment or Army 
personnel for community activities, the Command involved should be 
advised to first determine and weigh the risk to potential third-party 
claimants against the benefits to the DOD or the Army. Where such risk 
is excessive, try to obtain an agreement from the sponsoring civilian 
organization holding the Army harmless. When feasible, third-party 
liability insurance may be required from the sponsor and the United 
States added to the policy as a third-party insured.
    (2) When Army equipment and personnel are used for debris removal 
relief pursuant to the Federal Disaster Relief Act, 42 U.S.C. 5173, the 
state is required to assume responsibility for third-party claims. The 
senior judge advocate for a task force engaged in such relief should 
obtain an agreement requiring the state to hold the Army harmless and 
establish a procedure for payment by the state. Claims will be received, 
entered into the TSCA database, investigated and forwarded to state 
authorities for action.
    (m) Real estate claims. Claims for rent, damage, or other payments 
involving the acquisition, use, possession or disposition of real 
property or interests therein, are generally payable under AR 405-15. 
These claims are handled by the Real Estate Claims Office in the 
appropriate COE District or a special office created for a deployment. 
Directorate of Real Estate, Office of the Chief of Engineers, has 
supervisory authority. Claims for damage to real property and incidental 
personal property, but not for rent (for example, claims arising during 
a maneuver or

[[Page 215]]

deployment) may be payable under subparts C or J of this part. However, 
priority should be given to the use of AR 405-15 as it is more flexible 
and expeditious. In contingency operations and deployments, there is a 
large potential for overlap between contractual property damage claims 
and noncombat activity/maneuver claims. Investigate carefully to ensure 
the claim is in the proper channel (claims or real estate), that it is 
fairly settled, and that the claimant does not receive a double payment. 
For additional guidance, see subpart J of this part and United States 
Army Claims Service Europe (USACSEUR) Real Estate/Office of the Judge 
Advocate Standard Operating Procedures for Processing Claims Involving 
Real Estate During Contingency Operations (August 20, 2002).
    (n) Claims generated by civil works projects. Civil works projects 
claims arising from tortious activities are defined by whether the 
negligent or wrongful act or omission arising from a project or activity 
is funded by a civil works appropriation. Civil works claims are those 
noncontractual claims which arise from a negligent or wrongful act or 
omission during the performance of a project or activity funded by civil 
works appropriations as distinguished from a project or activity funded 
by Army operation and maintenance funds. Civil works claims are paid out 
of civil works appropriations to the extent set forth in Sec. 
536.71(f). A civil works claim can also arise out of a noncombat 
activity, for example, an inverse condemnation claim in which flooding 
exceeds the high water mark. Maritime claims under subpart H of this 
part are civil works claims when they arise out of the operation of a 
dam, locks or navigational aid.
    Note to Sec. 536.34: See parallel discussion at DA Pam 27-162, 
paragraph 2-1.



Sec. 536.35  Unique issues related to environmental claims.

    Claims for property damage, personal injury, or death arising in the 
United States based on contamination by toxic substances found in the 
air or the ground must be reported by USARCS to the Environmental Law 
Division of the Army Litigation Center and the Environmental Torts 
Branch of DOJ. Such claims arising overseas must be reported to the 
Command Claims Service with geographical jurisdiction over the claim and 
USARCS. Claims for personal injury from contamination frequently arise 
at an area that is the subject of claims for cleanup of the 
contamination site. The cleanup claims involve other Army agencies, use 
of separate funds, and prolonged investigation. Administrative 
settlement is not usually feasible because settlement of property damage 
claims must cover all damages, including personal injury. Payment by 
Defense Environmental Rehabilitation Funds should be considered 
initially and any such payment should be deducted from any settlement 
under AR 27-20.



Sec. 536.36  Related remedies.

    An ACO or a CPO routinely receives claims or inquiries about claims 
that clearly are not cognizable under this part. It is the DA's policy 
that every effort be made to discover another remedy and inform the 
inquirer as to its nature. Claims personnel will familiarize themselves 
with the remedies set forth in DA Pam 27-162, paragraph 2-17, to carry 
out this policy. If no appropriate remedy can be discovered, forward the 
file to the Commander USARCS, with recommendations.



Sec. 536.37  Importance of the claims investigation.

    Prompt and thorough investigation will be conducted on all potential 
and actual claims for and against the government. Evidence developed 
during an investigation provides the basis for every subsequent step in 
the administrative settlement of a claim or in the pursuit of a lawsuit. 
Claims personnel must gather and record adverse as well as favorable 
information. The CJA, claims attorney or unit claims officer must 
preserve their legal and factual findings.



Sec. 536.38  Elements of the investigation.

    (a) The investigation is conducted to ascertain the facts of an 
incident. Which facts are relevant often depends on the law and 
regulations applicable to the conduct of the parties involved but 
generally the investigation should develop definitive answers to such

[[Page 216]]

questions as ``When?'' ``Where?'' ``Who?'' ``What?'' and ``How?''. 
Typically, the time, place, persons, and circumstances involved in an 
incident may be established by a simple report, but its cause and the 
resulting damage may require extensive effort to obtain all the 
pertinent facts.
    (b) The object of the investigation is to gather, with the least 
possible delay, the best available evidence without accumulating 
excessive evidence concerning any particular fact. The claimant is often 
an excellent source of such information and should be contacted early in 
the investigation, particularly when there is a question as to whether 
the claim was timely filed.



Sec. 536.39  Use of experts, consultants and appraisers.

    (a) ACOs or CPOs will budget operation and maintenance (O&M) funds 
for the costs of hiring property appraisers, accident 
reconstructionists, expert consultants to furnish opinions, and medical 
specialists to conduct independent medical examinations (IMEs). Other 
expenses to be provided for from O&M funds include the purchase of 
documents, such as medical records, and the hiring of mediators. See 
Sec. 536.53(b). Where the cost exceeds $750 or local funds are 
exhausted, a request for funding should be directed to the Commander 
USARCS, with appropriate justification. The USARCS AAO must be notified 
as soon as possible when an accident reconstruction is indicated.
    (b) Where the claim arises from treatment at an Army MTF, the MEDDAC 
commander should be requested to fund the cost of an independent 
consultant's opinion or an IME.
    (c) The use of outside consultants and appraisers should be limited 
to claims in which liability or damages cannot be determined otherwise 
and in which the use of such sources is economically feasible, for 
instance, where property damage is high in amount and not determinable 
by a government appraiser or where the extent of personal injury is 
serious and a government IME is neither available nor acceptable to a 
claimant. Prior to such an examination at an MTF, ensure that the 
necessary specialists are available and a prompt written report may be 
obtained.
    (d) Either an IME or an expert opinion is procured by means of a 
personal services contract under the Federal Acquisition Regulation 
(FAR), part 37, 48 CFR 37.000 et seq., through the local contracting 
office. The contract must be in effect prior to commencement of the 
records review. Payment is authorized only upon receipt of a written 
report responsive to the questions asked by the CJA or claims attorney.
    (e) Whenever a source other than claims personnel is used to assist 
in the evaluation of a claim in which medical information protected by 
HIPAA is involved, the source must sign an agreement designed to protect 
the patient's privacy rights.



Sec. 536.40  Conducting the investigation.

    (a) The methods and techniques for investigating specific categories 
of claims are set forth in DA Pam 27-162, paragraphs 2-25 through 2-34. 
The investigation of medical malpractice claims should be conducted by a 
CJA or claims attorney, using a medical claims investigator.
    (b) A properly filed claim must contain enough information to permit 
investigation. For example, if the claim does not specify the date, 
location or details of every incident complained of, the claimant or 
legal representative should be required to furnish the information.
    (c) Request the claimant or legal representative to specify a theory 
of liability. However, the investigation should not be limited to the 
theories specified, particularly where the claimant is unrepresented. 
All logical theories should be investigated.



Sec. 536.41  Determination of liability--generally.

    (a) Under the FTCA, the United States is liable in the same manner 
and to the same extent as a private individual under like circumstances 
in accordance with the law of the place where the act or omission giving 
rise to the tort occurred (28 U.S.C. 2673 and 2674). This means that 
liability must rest on the existence of a tort cognizable under state 
law, hereinafter referred to as a state tort. A finding of

[[Page 217]]

state tort liability requires the litigating attorney to prove the 
elements of duty, breach of duty, causation, and damages as interpreted 
by federal case law.
    (b) The foregoing principles and requirements will be followed in 
regard to tort claims against the United States under other subparts, 
with certain exceptions noted within the individual subparts or 
particular tort statutes.
    (c) Interpretation will be made in accordance with FTCA case law and 
also maritime case law where applicable. Additionally, a noncombat 
activity can furnish the basis for a claim under subparts C, F, and J of 
this part. Noncombat activities include claims arising out of civil 
works, such as inverse condemnation.
    (d) Federal, not state or local, law applies to a determination as 
to who is a federal employee or a member of the armed forces. Under all 
subparts, the designation ``federal employee'' excludes a contractor of 
the United States. See 28 U.S.C. 2671. See however, Sec. 
536.23(b)(4)(ii) concerning personal services contractors. For 
employment identification purposes apply FTCA case law in making a 
determination.
    (e) Federal, not state or local, law applies to an interpretation of 
the SOL under all subparts. Minority or incompetence does not toll the 
SOL. Case law developed under the FTCA will be used in other subparts in 
interpreting SOL questions.
    (f) Under the FTCA state or local law is used to determine scope of 
employment and under other subparts for guidance.



Sec. 536.42  Constitutional torts.

    A claim for violation of the U.S. Constitution does not constitute a 
state tort and is not cognizable under any subpart. A constitutional 
claim will be scrutinized in order to determine whether it is totally or 
partially payable as a state tort. For example, a Fifth Amendment taking 
may be payable in an altered form as a real estate claim. For further 
discussion see DA Pam 27-162, paragraph 2-36.



Sec. 536.43  Incident to service.

    (a) A member of the armed forces' claim for personal injury or 
wrongful death arising incident to service is not payable under any 
subpart except to the extent permitted by the receiving State under 
Sec. Sec. 536.114 through 536.116 (Claims arising overseas); however, a 
claim by a member of the United States Armed Forces for property loss or 
damage may be payable under AR 27-20, chapter 11 or, if not, under 
subparts C, E, F, or G of this part. Derivative claims and claims for 
indemnity are also excluded.
    (b) Claims for personal injury or wrongful death by members of a 
foreign military force participating in a joint military exercise or 
operation arising incident to service are not payable under any subpart. 
Claims for property loss or damage, but not subrogated claims, may be 
payable under subpart C of this part. Derivative claims and claims for 
indemnity or contribution are not payable under any subpart.
     Note to Sec. 536.43: For further discussion see DA Pam 27-162, 
paragraph 2-37.



Sec. 536.44  FECA and LSHWCA claims exclusions.

    A federal or NAFI employee's personal injury or wrongful death claim 
payable under the Federal Employees Compensation Act (FECA) or the 
Longshore and Harbor Workers Compensation Act (LSHWCA) is not payable 
under any subpart. Derivative claims are also excluded but a claim for 
indemnity may be payable under certain circumstances. A federal or NAFI 
employee's claim for an incident-to-service property loss or damage may 
be payable under AR 27-20, chapter 11 or, if not, under subparts C, D, 
F, G, H or J of this part. For further discussion see DA Pam 27-162, 
paragraph 2-38.



Sec. 536.45  Statutory exceptions.

    This topic is more fully discussed in DA Pam 27-162, paragraph 2-39. 
The exclusions listed below are found at 28 U.S.C. 2680 and apply to 
subparts C, D, F, and H and Sec. Sec. 536.107 through 536.113 (Claims 
arising in the United States) of subpart G, except as noted therein, and 
not to subparts E, J or Sec. Sec. 536.107

[[Page 218]]

through 536.113 (Claims arising overseas) of subpart G of this part. A 
claim is not payable if it:
    (a) Is based upon an act or omission of an employee of the U.S. 
government, exercising due care, in the execution of a statute or 
regulation, whether or not such statute or regulation is valid. This 
exclusion does not apply to a noncombat activity claim.
    (b) Is based upon the exercise or performance or the failure to 
exercise or perform a discretionary function or duty on the part of a 
federal agency or an employee of the government, whether or not the 
discretion is abused. This exclusion does not apply to a noncombat 
activity claim.
    (c) Arises out of the loss, miscarriage, or negligent transmission 
of letters or postal matters. This exclusion is not applicable to 
registered or certified mail claims under subpart C of this part. See 
Sec. 536.34(i).
    (d) Arises in respect of the assessment or collection of any tax or 
customs duty, or the detention of any goods or merchandise by any 
customs or other law enforcement officer. See 28 U.S.C. 2680(c).
    (e) Is cognizable under the SIAA (46 U.S.C. app. 741-752), the PVA 
(46 U.S.C. app. 781-790), or the AEA (46 U.S.C. app. 740). This 
exclusion does not apply to subparts C, F, H or J of this part.
    (f) Arises out of an act or omission of any federal employee in 
administering the provisions of the Trading with the Enemy Act, 50 
U.S.C. app. 1-44.
    (g) Is for damage caused by the imposition or establishment of a 
quarantine by the United States.
    (h) Arises out of assault, battery, false imprisonment, false 
arrest, malicious prosecution, abuse of process, libel, slander, 
misrepresentation, deceit, or interference with contract rights, except 
for acts or omissions of investigation of law enforcement officers of 
the U.S. government with regard to assault, battery, false imprisonment, 
false arrest, abuse of process or malicious prosecution. This exclusion 
also does not apply to a health care provider as defined in 10 U.S.C. 
1089 and Sec. 536.80 of this part, under the conditions listed therein.
    (i) Arises from the fiscal operations of the U.S. Department of the 
Treasury or from the regulation of the monetary system.
    (j) Arises out of the combatant activities of U.S. military or naval 
forces, or the Coast Guard during time of war.
    (k) Arises in a foreign country. This exclusion does not apply to 
subparts C, E, F, H, J or Sec. Sec. 536.114 through 536.116 (Claims 
arising overseas) of subpart G of this part.
    (l) Arises from the activities of the Tennessee Valley Authority, 28 
U.S.C. 2680(l).
    (m) Arises from the activities of the Panama Canal Commission, 28 
U.S.C. 2680(m).
    (n) Arises from the activities of a federal land bank, a federal 
intermediate credit bank, or a bank for cooperatives, 28 U.S.C. 2680(n).
     Note to Sec. 536.45: This topic is more fully discussed in DA Pam 
27-162, paragraph 2-39.



Sec. 536.46  Other exclusions.

    (a) Statutory employer. A claim is not payable under any subpart if 
it is for personal injury or death of any contract employee for whom 
benefits are provided under any workers' compensation law, if the 
provisions of the workers' compensation insurance are retrospective and 
charge an allowable expense to a cost-type contract, or if precluded by 
state law. See Federal Tort Claims Handbook (FTCH), section II, D7 
(posted on the Web at https://www.jagcnet.army.mil/laawsxxi/cds.nsf. 
Select the link ``Claims'' under ``JAG Publications.'') The statutory 
employer exclusion also applies to claims that may be covered by the 
Defense Bases Act, 42 U.S.C. 1651-1654.
    (b) Flood exclusion. Within the United States a claim is not payable 
if it arises from damage caused by flood or flood waters associated with 
the construction or operation of a COE flood control project, 33 U.S.C. 
702(c). See DA Pam 27-162, paragraph 2-40.
    (c) ARNG property. A claim is not payable under any subpart if it is 
for damage to, or loss of, property of a state, commonwealth, territory, 
or the District of Columbia caused by ARNG personnel, engaged in 
training or duty under 32 U.S.C. 316, 502, 503, 504, or 505, who are 
assigned to a unit maintained

[[Page 219]]

by that state, commonwealth, territory, or the District of Columbia. See 
DA Pam 27-162, paragraph 2-41.
    (d) Federal Disaster Relief Act. Within the United States a claim is 
not payable if it is for damage to, or loss of, property or for personal 
injury or death arising out of debris removal by a federal agency or 
employee in carrying out the provisions of the Federal Disaster Relief 
Act, 42 U.S.C. 5173. See DA Pam 27-162, paragraph 2-42.
    (e) Non-justiciability doctrine. A claim is not payable under any 
subpart if it arises from activities that present a non-justiciable 
political question. See DA Pam 27-162, paragraph 2-43.
    (f) National Vaccine Act. (42 U.S.C. 300aa-1 through 300aa-7). A 
claim is not payable under any subpart if it arises from the 
administration of a vaccine unless the conditions listed in the National 
Vaccine Injury Compensation Program (42 U.S.C. 300aa-9 through 300aa-19) 
have been met. See DA Pam 27-162, paragraph 2-17c(6)(a).
    (g) Defense Mapping Agency. A claim is not payable under any subpart 
if it arises from inaccurate charting by the Defense Mapping Agency, 10 
U.S.C. 456. See FTCH section II, B4s (Web address at paragraph (a) of 
this section).
    (h) Quiet Title Act. Within the U.S., a claim is not payable if it 
falls under the Quiet Title Act 28 U.S.C. 2409a.
    (i) Defense Bases Act. A claim arising outside the United States is 
not payable if it is covered by the Defense Bases Act, 42 U.S.C. 1651-
1654.
    Note to Sec. 536.46: See parallel discussion at DA Pam 27-162, 
paragraphs 2-40 through 2-43.



Sec. 536.47  Statute of limitations.

    To be payable, a claim against the United States under any subpart, 
except Sec. Sec. 536.114 through 536.116 (Claims arising overseas), 
must be filed no later than two years from the date of accrual as 
determined by federal law. The accrual date is the date on which the 
claimant is aware of the injury and its cause. The claimant is not 
required to know of the negligent or wrongful nature of the act or 
omission giving rise to the claim. The date of filing is the date of 
receipt by the appropriate federal agency, not the date of mailing. See 
also Sec. 536.26(a) and parallel discussion at DA Pam 27-162, paragraph 
2-44.



Sec. 536.48  Federal employee requirement.

    To be payable, a claim under any subpart except subpart K of this 
part, Sec. Sec. 536.153 through 536.157 (Claims involving tortfeasors 
other than nonappropriated fund employees), must be based on the acts or 
omissions of a member of the armed forces, a member of a foreign 
military force within the United States with which the United States has 
a reciprocal claims agreement, or a federal civilian employee. This does 
not include a contractor of the United States. Apply federal case law 
for interpretation. See parallel discussion at DA Pam 27-162, paragraph 
2-46.



Sec. 536.49  Scope of employment requirement.

    To be payable, a claim must be based on acts or omissions of a 
member of the armed forces, a member of a foreign military force within 
the United States with which the United States has a reciprocal claims 
agreement, or a federal employee acting within the scope of employment, 
except for subparts E, J, or subpart K of this part, Sec. Sec. 536.153 
through 536.157 (Claims involving tortfeasors other than nonappropriated 
fund employees). A claim arising from noncombat activities must be based 
on the armed service's official activities. Excluded are claims based on 
vicarious liability or the holder theory in which the owner of the 
vehicle is responsible for any injury or damage regardless of who the 
operator was. See parallel discussion at DA Pam 27-162, paragraph 2-46.



Sec. 536.50  Determination of damages--applicable law.

    (a) The Federal Tort Claims Act. The whole law of the place where 
the incident giving rise to the claim occurred, including choice of law 
rules, is applicable. Therefore, the law of the place of injury or death 
does not necessarily apply. Where there is a conflict between local law 
and an express provision of the FTCA, the latter governs.
    (b) The Military Claims Act or National Guard Claims Act. See 
subparts C and F of this part. The law set forth in Sec. 536.80 applies 
only to claims accruing on or after September 1, 1995. The law of the

[[Page 220]]

place of the incident giving rise to the claim will apply to claims 
arising in the United States, its commonwealths, territories and 
possessions prior to September 1, 1995. The general principles of U.S. 
tort law will apply to property damage or loss claims arising outside 
the United States prior to September 1, 1995. Established principles of 
general maritime law will apply to injury or death claims arising 
outside the United States prior to September 1, 1995. See Moragne v. 
States Marine Lines, Inc., 398 U.S. 375 (1970) and federal case law. 
Where general maritime law provides no guidance, the general principles 
of U.S. tort law will apply.
    (c) The Foreign Claims Act. See subpart J of this part. The law of 
the place of occurrence applies to the resolution of claims. However, 
the law of damages set forth in Sec. 536.139 will serve as a guide.
    (d) The Army Maritime Claims Settlement Act. Maritime law applies.
    (e) Damages not payable. Under all subparts, property loss or damage 
refers to actual tangible property. Accordingly, consequential damages, 
including, but not limited to bail, interest (prejudgment or otherwise), 
or court costs are not payable. Costs of preparing, filing, and pursuing 
a claim, including expert witness fees, are not payable. The payment of 
punitive damages, that is, damages in addition to general and special 
damages that are otherwise payable, is prohibited. See DA Pam 27-162, 
paragraphs 2-56 and 3-4b.
    (f) Source of attorney's fees. Attorney's fees are taken from the 
settlement amount and not added thereto. They may not exceed 20 percent 
of the settlement amount under any subpart.
    Note to Sec. 536.50: For further discussion see DA Pam 27-162, 
paragraph 2-51.



Sec. 536.51  Collateral source rule.

    Where permitted by applicable state or maritime law, damages 
recovered from collateral sources are payable under subparts D and H, 
but not under subparts C, E, F, or J of this part. For further 
discussion see DA Pam 27-162, paragraph 2-57.



Sec. 536.52  Subrogation.

    Subrogation is the substitution of one person in place of another 
with regard to a claim, demand or right. It should not be confused with 
a lien, which is an obligation of the claimant. Applicable state law 
should be researched to determine the distinction between subrogation 
and a lien. Subrogation claims are payable under subparts D and H, but 
not under subparts C, E, F or J of this part. For further discussion see 
DA Pam 27-162, paragraph 2-58.



Sec. 536.53  Evaluation of claims--general rules and guidelines.

    (a) Before claims personnel evaluate a claim:
    (1) A claimant or claimant's legal representative will be furnished 
the opportunity to substantiate the claim by providing essential 
documentary evidence according to the claim's nature including, but not 
instead of, the following: Medical records and reports, witness 
statements, itemized bills and paid receipts, estimates, federal tax 
returns, W-2 forms or similar proof of loss of earnings, photographs, 
and reports of appraisals or investigation. If necessary, request 
permission, through the legal representative, to interview the claimant, 
the claimant's family, proposed witnesses and treating health care 
providers (HCPs). In a professional negligence claim, the claimant will 
submit an expert opinion when requested. State law concerning the 
requirement for an affidavit of merit should be cited.
    (2) When the claimant or the legal representative fails to respond 
in a timely manner to informal demands for documentary evidence, 
interviews, or an independent medical examination (IME), make a written 
request. Such written request provides notice to the claimant that 
failure to provide substantiating evidence will result in an evaluation 
of the claim based only on information currently in the file. When, 
despite the government's request, there is insufficient information in 
the file to permit evaluation, the claim will be denied for failure to 
document it. Failure to submit to an IME or sign an authorization to use 
medical information protected by HIPAA, for

[[Page 221]]

review or evaluation by a source other than claims personnel, are both 
grounds for denial for failure to document, provided such evaluation is 
essential to the determination of liability or damages. State a time 
limit, for example, 30 or 60 days, to furnish the substantiation or 
expert opinion required in a medical malpractice claim.
    (3) If, in exchange for complying with the government's request for 
the foregoing information, the claimant or the legal representative 
requests similar information from the file, the claimant may be provided 
such information and documentation as is releasable under the Federal 
Rules of Civil Procedure (FRCP). Additionally, work product may be 
released if such release will help settle the claim. See Sec. 536.18.
    (b) An evaluation should be viewed from the claimant's perspective. 
In other words, before denying a claim, first determine whether there is 
any reasonable basis for compromise. Certain jurisdictional issues and 
statutory bases may not be open for compromise. The incident to service 
and FECA exclusions are rarely subject to compromise, whereas the SOL is 
more subject to compromise. Factual and legal disputes are 
compromisable, frequently providing a basis for limiting damages, not 
necessarily grounds for denial. Where a precise issue of dispute is 
identified and is otherwise unresolvable, mediation by a disinterested 
qualified person, such as a federal judge, or foreign equivalent for 
claims arising under the FCA, should be obtained upon agreement with the 
claimant or the claimant's legal representative. Contributory negligence 
has given way to comparative negligence in most United States 
jurisdictions. In most foreign countries, comparative negligence is the 
rule of law.
     Note to Sec. 536.53: For further discussion see DA Pam 27-162, 
paragraph 2-59.



Sec. 536.54  Joint tortfeasors.

    When joint tortfeasors are liable, it is DA policy to pay only the 
fair share of a claim attributable to the fault of the United States 
rather than pay the claim in full and then bring suit against the joint 
tortfeasor for contribution. If payment from a joint tortfeasor is not 
forthcoming after the CJA's demand, the United States should settle for 
its fair share, provided the claimant is willing to hold the United 
States harmless. Where a joint tortfeasor's liability greatly outweighs 
that of the United States, the claim should be referred to the joint 
tortfeasor for action.



Sec. 536.55  Structured settlements.

    (a) The use of future periodic payments, including reversionary 
medical trusts, is encouraged to ensure that the injured party is 
adequately compensated and able to meet future needs.
    (1) It is necessary to ensure adequate care and compensation for a 
minor or other incompetent claimant or unemployed survivor over a period 
of years.
    (2) A medical trust is necessary to ensure the long-term 
availability of funds for anticipated future medical care, the cost of 
which is difficult to predict.
    (3) The injured party's life expectancy cannot be reasonably 
determined or is likely to be shortened.
    (b) Under subpart D of this part, structured settlements cannot be 
required but are encouraged in situations listed above or where state 
law permits them. In the case of a minor, every effort should be made to 
insure that the minor, and not the parents, receives the benefit of the 
settlement. Annuity payments at the age of majority should be 
considered. If rejected, a blocked bank account may be used.
    (c) It is the policy of the Department of Justice never to discuss 
the tax-free nature of a structured settlement.
     Note to Sec. 536.55: For further discussion, see DA Pam 27-162, 
paragraph 2-63.



Sec. 536.56  Negotiations--purpose and extent.

    It is DA policy to settle meritorious claims promptly and fairly 
through direct negotiation at the lowest possible level. The Army's 
negotiator should not admit liability as such is not necessary. However, 
the settlement should reflect diminished value where contributory 
negligence or other value-diminishing factors exist. The negotiator 
should be thoroughly familiar with all aspects of the case, including 
the claimant's background, the key witnesses, the anticipated testimony 
and

[[Page 222]]

the appearance of the scene. There is no substitute for the claims 
negotiator's personal study of, and participation in, the case before 
settlement negotiations begin. If settlement is not possible due to the 
divergence in the offers, refine the issues as much as possible in order 
to expedite any subsequent suit. Mediation should be used if the 
divergence is due to an issue of law affecting either liability or 
damages. For further discussion see DA Pam 27-162, paragraph 2-64.



Sec. 536.57  Who should negotiate.

    An AAO or, when delegated additional authority, an ACO or a CPO, has 
authority to settle claims in an amount exceeding the monetary authority 
delegated by regulation. It is DA policy to delegate USARCS authority, 
on a case-by-case basis, to an ACO or a CPO possessing the appropriate 
ability and experience. Only an attorney should negotiate with a 
claimant's attorney. Negotiations with unrepresented claimants may be 
conducted by a non-attorney, under the supervision of an attorney. For 
further discussion see DA Pam 27-162, paragraph 2-65.



Sec. 536.58  Settlement negotiations with unrepresented claimants.

    All aspects of the applicable law and procedure, except the amount 
to be claimed, should be explained to both potential and actual 
claimants. The negotiator will ensure that the claimant is aware of 
whether the negotiator is an attorney or a non-attorney, and that the 
negotiator represents the United States. As to claims within USARCS' 
monetary authority, the chronology and details of negotiations should be 
memorialized with a written record furnished to the claimant. The 
claimant should understand that it is not necessary to hire an attorney, 
but when an attorney is needed, the negotiator should recommend hiring 
one. In a claim where liability is not an issue, the claimant should be 
informed that if an attorney is retained, the claimant should attempt to 
negotiate an hourly fee for determination of damages only. For further 
discussion see DA Pam 27-162, paragraph 2-68.



Sec. 536.59  Settlement or approval authority.

    ``Settlement authority'' is a statutory term (10 U.S.C. 2735) 
meaning that officer authorized to approve, deny or compromise a claim, 
or make final action. ``Approval authority'' means the officer empowered 
to settle, pay or compromise a claim in full or in part, provided the 
claimant agrees. ``Final action authority'' means the officer empowered 
to deny or make a final offer on a claim. Determining the proper officer 
empowered to approve or make final action on a claim depends on the 
claims statute involved and any limitations that apply under that 
statute. DA Pam 27-162, paragraph 2-69, outlines how various authority 
is delegated among offices.



Sec. 536.60  Splitting property damage and personal injury claims.

    Normally, a claim will include all damages that accrue by reason of 
the incident. Where a claimant has a claim for property damage and 
personal injury arising from the same incident, the property damage 
claim may be paid, under certain circumstances, prior to the filing of 
the personal injury claim. The personal injury claim may be filed later 
provided it is filed within the applicable statute of limitations. When 
both property damage and personal injury arise from the same incident, 
the property damage claim may be paid to either the claimant or, under 
subparts D or H of this part, the insurer and the same claimant may 
receive a subsequent payment for personal injury. Only under subparts D 
or H of this part may the insurer receive subsequent payment for 
subrogated medical bills and lost earnings when the personal injury 
claim is settled. The primary purpose of settling an injured claimant's 
property damage claim before settling the personal injury claim is to 
pay the claimant for vehicle damage expeditiously and avoid costs 
associated with delay such as loss of use, loss of business, or storage 
charges. The Commander USARCS' approval must be obtained whenever the 
estimated value of any one claim exceeds $25,000, or the value of all 
claims, actual or potential, arising from the incident exceeds $50,000; 
however, if the

[[Page 223]]

claim arises under the FTCA or AMCSA, only if the amount claimed exceeds 
$50,000, or $100,000 per incident.



Sec. 536.61  Advance payments.

    (a) This section implements 10 U.S.C. 2736 (Act of September 8, 1961 
(75 Stat. 488)) as amended by Public Law 90-521 (82 Stat. 874); Public 
Law 98-564 (90 Stat. 2919); and Public Law 100-465 (102 Stat. 2005)). No 
new liability is created by 10 U.S.C. 2736, which merely permits partial 
advance payments, only under subparts C, F or J of this part, on claims 
not yet filed. See AR 27-20, paragraph 11-18 for information on 
emergency partial payments in personnel claims, which are not governed 
by 10 U.S.C. 2736.
    (b) The Judge Advocate General (TJAG) and the Assistant Judge 
Advocate General (TAJAG) may make advance payments in amounts not 
exceeding $100,000; the Commander USARCS, in amounts not exceeding 
$25,000, and the authorities designated in Sec. Sec. 536.786(4) and (5) 
and 536.101, in amounts not exceeding $10,000, subject to advance 
coordination with USARCS, if the estimated total value of the claim 
exceeds their monetary authority. Requests for advance payments in 
excess of $10,000 will be forwarded to USARCS for processing.
    (c) Under subpart J of this part, three-member foreign claims 
commissions may make advance payments under the FCA in amounts not 
exceeding $10,000, subject to advance coordination with USARCS if the 
estimated total value of the claim exceeds their monetary authority.
    (d) An advance payment, not exceeding $100,000, is authorized in the 
limited category of claims or potential claims considered meritorious 
under subparts C, F or J of this part, that result in immediate 
hardship. An advance payment is authorized only under the following 
circumstances:
    (1) The claim, or potential claim, must be determined to be 
cognizable and meritorious under the provisions of subparts C, F or J of 
this part.
    (2) An immediate need for food, clothing, shelter, medical or burial 
expenses, or other necessities exists.
    (3) The payee, so far as can be determined, would be a proper 
claimant, including an incapacitated claimant's spouse or next-of-kin.
    (4) The total damage sustained must exceed the amount of the advance 
payment.
    (5) A properly executed advance payment acceptance agreement has 
been obtained. This acceptance agreement must state that it does not 
constitute an admission of liability by the United States and that the 
amount paid shall be deducted from any subsequent award.
    (e) There is no statutory authority for making advance payments for 
claims payable under subparts D or H of this part.
     Note to Sec. 536.61: For further discussion see DA Pam 27-162, 
paragraph 2-71.



Sec. 536.62  Action memorandums.

    (a) When required. (1) All claims will be acted on prior to being 
closed except for those that are transferred. For claims on which suit 
is filed before final action, see Sec. 536.66. A settlement authority 
may deny or pay in full or in part any claim in a stated amount within 
his or her delegated authority. An approval authority may pay in full or 
in part, but may not deny, a claim in a stated amount within his or her 
delegated authority. If any one claim arising out of the same incident 
exceeds a settlement or approval authority's monetary jurisdiction, all 
claims from that incident will be forwarded to the authority having 
jurisdiction.
    (2) In any claim which must be supported by an expert opinion as to 
duty, negligence, causation or damages, an expert opinion must be 
submitted upon request. All opinions must meet the standards set forth 
in Federal Rule of Evidence 702.
    (3) An action memorandum is required for all final actions 
regardless of whether payment is made electronically. The memorandum 
will contain a sufficient rendition of the facts, law or damages to 
justify the action being taken. (A model action is posted on the USARCS 
Web site; for the address see Sec. 536.2(a).)
    (b) Memorandum of Opinion. Upon completion of the investigation, the

[[Page 224]]

ACO or CPO will prepare a memorandum of opinion in the format prescribed 
at DA Pam 27-162, when a claim is forwarded to USARCS for action. This 
requirement can be waived by the USARCS AAO.
    (c) Claim brought by a claims authority or superior. A claim filed 
by an approval or settlement authority or his or her superior officer in 
the chain of command or a family member of either will be investigated 
and forwarded for final action, without recommendation, to the next 
higher settlement authority (in an overseas area, this includes a 
command claims service) or to USARCS.
    Note to Sec. 536.62: For further discussion see DA Pam 27-162, 
paragraph 2-72.



Sec. 536.63  Settlement agreements.

    (a) When required. (1) A claimant's acceptance of an award 
constitutes full and final settlement and release of any and all claims 
against the United States and its employees, except as to payments made 
under Sec. Sec. 536.60 and 536.61. A settlement agreement is required 
prior to payment on all tort claims, whether the claim is paid in full 
or in part.
    (2) DA Form 1666 (Claims Settlement Agreement) may be used for 
payment of COE claims of $2,500 or less or all Army Central Insurance 
Fund and Army and Air Force Exchange Service claims.
    (3) DA Form 7500 (Tort Claim Payment Report) will be used for all 
payments from the Defense Finance and Accounting Service (DFAS), for 
example, FTCA claims of $2,500 or less, FCA and MCA claims of $100,000 
or less and all maritime claims regardless of amount.
    (4) Financial Management Service (FMS) Forms 194, 196 and 197 will 
be used for all payments from the Judgment Fund, for example, FTCA 
claims exceeding $2,500, MCA and FCA claims exceeding $100,000.
    (5) An alternative settlement agreement will be used when the 
claimant is represented by an attorney, or when any of the above 
settlement agreement forms are legally insufficient (such as when 
multiple interests are present, a hold harmless agreement is reached, or 
there is a structured settlement). For further discussion, see DA Pam 
27-162, paragraph 2-73c.
    (b) Unconditional settlement. The settlement agreement must be 
unconditional. The settlement agreement represents a meeting of the 
minds. Any changes to the agreement must be agreed upon by all parties. 
The return of a proffered settlement agreement with changes written 
thereon or on an accompanying document represents, in effect, a 
counteroffer and must be resolved. Even if the claimant signs the 
agreement and objects to its terms, either in writing or verbally, the 
settlement is defective and the objection must be resolved. Otherwise a 
final offer should be made.
    (c) Court approval--(1) When required. Court approval is required in 
a wrongful death claim, or where the claimant is a minor or incompetent. 
The claimant is responsible to obtain court approval in a jurisdiction 
that is locus of the act or omission giving rise to the claim or in 
which the claimant resides. The court must be a state or local court, 
including a probate court. If the claimant can show that court approval 
is not required under the law of the jurisdiction where the incident 
occurred or where the claimant resides, the citation of the statute will 
be provided and accompany the payment documents.
    (2) Attorney representation. If the claimant is a minor or 
incompetent, the claimant must be represented by a lawyer. If not 
already represented, the claimant should be informed that the 
requirement is mandatory unless state or local law expressly authorizes 
the parents or a person in loco parentis to settle the claim.
    (3) Costs. The cost of obtaining court approval will be factored 
into the amount of the settlement; however, the amount of the costs and 
other costs will not be written into the settlement, only the 20% 
limitation on attorney fees will be included.
    (4) Claims involving an estate or personal representative of an 
estate. On claims presented on behalf of a decedent's estate, the law of 
the state having jurisdiction should be reviewed to determine who may 
bring a claim on

[[Page 225]]

behalf of the estate, if court appointment of an estate representative 
is required, and if court approval of the settlement is required.
    (d) Signature requirements. (1) Except as noted in paragraphs (d)(2) 
through (d)(6) of this section, all settlement agreements will be signed 
individually by each claimant. A limited power of attorney signed by the 
claimant specifically stating the amount being accepted and authorizing 
an attorney at law or in fact to sign is acceptable when the claimant is 
unavailable to sign. The signatures of the administrator or executor of 
the estate, appointed by a court of competent jurisdiction or authorized 
by local law, are required. The signatures of all adult beneficiaries, 
acknowledging the settlement, should be obtained unless permission is 
given by Commander USARCS. Court approval must be obtained where 
required by state law. If not required by state law, the citation of the 
state statute will accompany the payment document. Additionally, all 
adult heirs will sign as acknowledging the settlement. In lieu thereof, 
where the adult heirs are not available, the estate representative will 
acknowledge that all heirs have been informed of the settlement.
    (2) Generally, only a court-appointed guardian of a minor's estate, 
or a person performing a similar function under court supervision, may 
execute a binding settlement agreement on a minor's claim. In the United 
States, the law of the state where the minor resides or is domiciled 
will determine the age of majority and the nature and type of court 
approval that is needed, if any. The age of majority is determined by 
the age at the time of settlement, not the date of filing.
    (3) For claims arising in foreign countries where the amount agreed 
upon does not exceed $2,500, the requirement to obtain a guardian may be 
eliminated. For settlements over $2,500, whether or not the claim arose 
in the United States, refer to applicable local law, including the law 
of the foreign country where the minor resides.
    (4) In claims where the claimant is an incompetent, and for whom a 
guardian has been appointed by a court of competent jurisdiction, the 
signature of the guardian must be obtained. In cases in which competence 
of the claimant appears doubtful, a written statement by the plaintiff's 
attorney and a member of the immediate family should be obtained.
    (5) Settlement agreements involving subrogated claims must be 
executed by a person authorized by the corporation or company to act in 
its behalf and accompanied by a document signed by a person authorized 
by the corporation or company to delegate execution authority.
    (6) If it is believed that the foregoing requirements are materially 
impeding settlement of the claim, bring the matter to the attention of 
the Commander USARCS for appropriate resolution.
    (e) Attorneys' fees and costs. (1) Attorneys' fees for all subparts 
in this part 536 fall under the American Rule and are payable only out 
of the up front cash in any settlement. Attorneys' fees will be stated 
separately in the settlement agreement as a sum not to exceed 20% of the 
award.
    (2) Costs are a matter to be determined solely between the attorney 
and the claimant and will not be set forth or otherwise enumerated in 
the settlement agreement.
    (f) Claims involving workers' compensation carriers. The settlement 
of a claim involving a claimant who has elected to receive workers' 
compensation benefits under local law may require the consent of the 
workers' compensation insurance carrier, and in certain jurisdictions, 
the state agency that has authority over workers' compensation awards. 
Accordingly, claims approval and settlement authorities should be aware 
of local requirements.
    (g) Claims involving multiple interests. Where two or more parties 
have an interest in the claim, obtain signatures on the settlement 
agreement from all parties. Examples are where both the subrogee and 
subrogor file a single claim for property damage, where both landlord 
and tenant file a claim for damage to real property, or when a POV is 
leased, both the lessor or lessee.
    (h) Claims involving structured settlements. All settlement 
agreements involving structured settlements will be prepared by the Tort 
Claims Division,

[[Page 226]]

USARCS, and approved by the Chief or Deputy Chief, Tort Claims Division.



Sec. 536.64  Final offers.

    (a) When claims personnel believe that a claim should be 
compromised, and after every reasonable effort has been made to settle 
at less than the amount claimed, a settlement authority will make a 
written final offer within his or her monetary jurisdiction or forward 
the claim to the authority having sufficient monetary jurisdiction, 
recommending a final offer under the applicable statute. The final offer 
notice will contain sufficient detail to outline each element of damages 
as well as discuss contributory negligence, the SOL or other reasons 
justifying a compromise offer. The offer letter should include language 
indicating that if the offer is not accepted within a named time period, 
for example, 30 or 60 days the offer is withdrawn and the claim is 
denied.
    (b) A final offer under subpart D of this part will notify the 
claimant of the right to sue, not later than six months from the 
notice's date of mailing, and of the right to request reconsideration. 
The procedures for processing a request for reconsideration are set 
forth in Sec. 536.89.
    (c) Under subparts C or F of this part, the notice will contain an 
appeal paragraph. A similar procedure will be followed in subparts E and 
H of this part. Subpart J of this part sets forth its own procedures for 
FCA final offers. The procedures for processing an appeal are set forth 
in Sec. 536.79 of this part. The letter must inform claimants of the 
following:
    (1) They must accept the offer within 60 days or appeal. The appeal 
should state a counteroffer.
    (2) The identity of the official who will act on the appeal, and the 
requirement that the appeal will be addressed to the settlement 
authority who last acted on the claim.
    (3) No form is prescribed for the appeal, but the notice of appeal 
must fully set forth the grounds for appeal or state that it is based on 
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 the 
date of mailing of the final notice of action. If the last day of the 
appeal period falls on a Saturday, Sunday, or legal holiday, as 
specified in Rule 6a of the Federal Rules of Civil Procedure, the 
following day will be considered the final day of the appeal period.
    (d) Where a claim for the same injury falls under both subparts C 
and D of this part (the MCA and the FTCA), and the denial or final offer 
applies equally to each such claim, the letter of notification must 
advise the claimant that any suit brought on any portion of the claim 
filed under the FTCA must be brought not later than six months from the 
date of mailing of the notice of final offer and any appeal under 
subpart C of this part must be made as stated in paragraph (c) of this 
section. Further, the claimant must be advised that if suit is brought, 
action on any appeal under subpart C of this part will be held in 
abeyance pending final determination of such suit.
    (e) Upon request, the settlement authority may extend the six-month 
reconsideration or 60-day appeal period provided good cause is shown. 
The claimant will be notified as to whether the request is granted under 
the FTCA and that the request precludes the filing of suit under the 
FTCA for 6 months. Only one reconsideration is authorized. Accordingly, 
that claimant should be informed of the need to make all submissions 
timely.
     Note to Sec. 536.64: For further discussion see DA Pam 27-162, 
paragraph 2-74.



Sec. 536.65  Denial notice.

    (a) Where there is no reasonable basis for compromise, a settlement 
authority will deny a claim within his or her monetary jurisdiction or 
forward the claim recommending denial to the settlement authority that 
has jurisdiction. The denial notice will contain instructions on the 
right to sue or request reconsideration. The notice will state the basis 
for denial. No admission of liability will be made. A notice to an 
unrepresented claimant should detail the basis for denial in lay 
language sufficient to permit an informed decision as to whether to 
request appeal or reconsideration. In the interest of deterring 
reconsideration, appeal or suit, a denial notice may be releasable under

[[Page 227]]

the Federal Rules of Civil Procedure or by the work product documents 
doctrine.
    (b) Regardless of the claim's nature or the statute under which it 
may be considered, letters denying claims on jurisdictional grounds that 
are valid, certain, and not easily overcome (and for this reason no 
detailed investigation as to the merits of the claim was conducted), 
must state that denial on such grounds is not to be construed as an 
opinion on the merits of the claim or an admission of liability. In 
medical malpractice claims, the denial should state that the file is 
being referred to U.S. Army Medical Command for review. If sufficient 
factual information exists to make a tentative ruling on the merits of 
the claim, liability may be expressly denied.
     Note to Sec. 536.65: See Sec. 536.53, on denying a claim for 
failure to substantiate. In addition, the procedures and rules in DA Pam 
27-162, paragraph 2-69, settlement and approval authority, apply equally 
to the denial of claims. See also DA Pam 27-162, paragraph 2-75.



Sec. 536.66  The ``Parker'' denial.

    (a) When suit is filed before final action is taken on a subpart D 
of this part claim, a denial letter will be issued only upon request of 
DOJ or the trial attorney. If suit is filed prematurely or in error, the 
claimant may be requested to withdraw the suit without prejudice. Such a 
request must be coordinated with the trial attorney.
    (b) Claimants who have filed companion claims should be notified 
that, due to suit being filed, no action can be taken pending the 
outcome of suit and they may file suit if they wish.
     Note to Sec. 536.66: For further discussion see DA Pam 27-162, 
paragraph 2-76.



Sec. 536.67  Mailing procedures.

    Thirty or sixty day letters seeking information from claimants, 
final offers and denial notices are time-sensitive as they require a 
claimant to take additional action within certain time limits. 
Accordingly, follow procedures to ensure that the date of mailing and 
receipt of a request for reconsideration are documented. Use certified 
mail with return receipt requested (or registered mail, if being sent to 
a foreign country other than by the military postal system) to mail such 
notices. Upon receipt, an appeal or request for reconsideration will be 
date-time stamped, logged in, and acknowledged as set forth in Sec. 
536.68.
     Note to Sec. 536.67: See also AR 27-20, paragraph 13-5, and DA Pam 
27-162, paragraph 2-77.



Sec. 536.68  Appeal or reconsideration.

    (a) An appeal or a request for reconsideration will be acknowledged 
in writing. A request for reconsideration under subpart D of this part 
invokes the six-month period during which suit cannot be filed, 28 CFR 
14.9(b). The acknowledgment letter will underscore this restriction.
    (b) Where the contents of the appeal or request for reconsideration 
indicate, additional investigation will be conducted and the original 
action changed if warranted. Except for subpart J of this part, which 
sets forth separate rules for FCCs, if the relief requested is not 
warranted the settlement authority will forward the claim to a higher 
settlement authority with a claims memorandum of opinion (see Sec. 
536.62) stating the reasons why the request is invalid.
     Note to Sec. 536.68: See also DA Pam 27-162, paragraph 2-78.



Sec. 536.69  Retention of file.

    After final action has been taken, the settlement authority will 
retain the file until at least one month after either the period of 
filing suit or the appeal has expired and until all data has been 
entered into the database. A paid claim file will be retained until 
final action has been taken on all other claims arising out of the same 
incident. If any single claim arising out of the same incident must be 
forwarded to higher authority for final action, all claims files for 
that incident will be forwarded at the same time. For further discussion 
see DA Pam 27-162, paragraph 2-79.



Sec. 536.70  Preparation and forwarding of payment vouchers.

    (a) An unrepresented claimant will be listed as the sole payee. 
Joint claimants will not be listed since settlement agreements must 
specify the amount payable to each claimant individually

[[Page 228]]

and each must be issued a separate check.
    (b) When a claimant is represented by an attorney, only one payment 
voucher will be issued with the claimant and the attorney as joint 
payees. The payment will be sent to the office of the claimant's 
attorney. The attorney of record, either an individual or firm 
designated by the claimant, will be the co-payee. If claimant has been 
represented by other attorneys in the same claim, such attorneys will 
not be listed as payees, even if they have a lien. Satisfaction of any 
such fee will be a matter between the claimant and such attorney. If 
payment is made by electronic transfer, the funds will be paid into the 
account of the claimant. However, if requested, the payment may be made 
into the attorney's escrow account provided the claimant has provided 
written authorization.
    (c) In a structured settlement the structured settlement broker will 
be the sole payee, who is authorized to issue checks for the amounts set 
forth in the settlement agreement. The up-front cash payment may be 
deposited into an escrow account established for the benefit of the 
claimant.
    (d) If a claimant is a minor or has been declared incompetent by a 
court or other authority authorized to do so, payment will be made to 
the court-appointed guardian of the minor or incompetent, at a financial 
institution approved by the court approving the settlement.
    (e) If the claimant is representing a deceased's estate on a 
wrongful death claim, or a survival action on behalf of the deceased, 
the payment will be made to the court-appointed representative of the 
estate. No payment will be made directly to the estate.
     Note to Sec. 536.70: See also Sec. 536.63 and DA Pam 27-162, 
paragraphs 2-73 and 2-81.



Sec. 536.71  Fund sources.

    (a) 31 U.S.C. 1304 sets forth the type and limits of claims payable 
out of the Judgment Fund. Only final payments that are not payable out 
of agency funds are allowable, per the Treasury Financial Manual, Volume 
I, Part 6, Chapter 3110, at Section 3115, September 2000. Threshold 
amounts for payment from the judgment fund vary according to the subpart 
and statutes under which a claim is processed. To determine the 
threshold amount for any given payment procedure one must arrive at a 
sum of all awards for all claims arising out of that incident, including 
derivative claims. A joint amount is not acceptable. A claim for injury 
to a spouse or a child is a separate claim from one for loss of 
consortium or services by a spouse or parent. The monetary limits of 
$2,500 set forth in subpart D and $100,000 set forth in subparts C, F or 
J of this part, apply to each separate claim.
    (b) A claim for $2,500 or less arising under subpart D or E, or 
under Sec. Sec. 536.107 through 536.113 of subpart G, is paid from the 
open claims allotment (see AR 27-20 paragraph 13-6 b(1)) or, if arising 
from a project funded by a civil works appropriation, from COE civil 
works funds. The Department of the Treasury pays any settlement 
exceeding $2,500 in its entirety, from the Judgment Fund. However, if a 
subpart G of this part, Sec. Sec. 536.107 through 536.113 claim is 
treated as a noncombat activity claim, payment is made as set forth in 
paragraph (c) of this section.
    (c) The first $100,000 for each claimant on a claim settled under 
subparts C, F or J of this part is paid from the open claims allotment. 
Any amount over $100,000 is paid out of the Judgment Fund.
    (d) If not over $500,000, a claim arising under subpart H of this 
part is paid from the open claims allotment or civil works project funds 
as appropriate. A claim exceeding $500,000 is paid entirely by a 
deficiency appropriation.
    (e) AAFES or NAFI claims are paid from nonappropriated funds, except 
when such claims are subject to apportionment between appropriated and 
nonappropriated funds. See DA Pam 27-162, paragraph 2-80h.
    (f) COE claims arising out of projects not funded out of civil works 
project funds are payable from the open claims allotment not to exceed 
$2,500 for subpart D claims and $100,000 for claims arising from 
subparts C, F or J of this part and from the Judgment Fund, over such 
amounts.
     Note to Sec. 536.71: For further discussion see DA Pam 27-162, 
paragraph 2-80.

[[Page 229]]



Sec. 536.72  Finality of settlement.

    A claimant's acceptance of an award, except for an advance payment 
or a split payment for property damage only, constitutes a release of 
the United States and its employees from all liability. Where 
applicable, a release should include the ARNG or the sending State. For 
further discussion see DA Pam 27-162, paragraph 2-82.



        Subpart C_Claims Cognizable Under the Military Claims Act



Sec. 536.73  Statutory authority for the Military Claims Act.

    The statutory authority for this subpart is contained in the Act of 
August 10, 1956 (70A Stat. 153, 10 U.S.C. 2733), commonly referred to as 
the Military Claims Act (MCA), as amended by 90-521, September 1968 (82 
Stat. 874); Public Law 90-522, September 1968 (82 Stat. 875); Public Law 
90-525, September 1968 (82 Stat. 877); Public Law 93-336, July 8, 1974 
(88 Stat. 291); Public Law 98-564, October 1984, (98 Stat. 2918); and 
Public Law 103-337, October 1994 (108 Stat. 2664).



Sec. 536.74  Scope for claims under the Military Claims Act.

    (a) The guidance set forth in this subpart applies worldwide and 
prescribes the substantive bases and special procedural requirements for 
the settlement of claims against the United States for death or personal 
injury, or damage to, or loss or destruction of, property:
    (1) Caused by military personnel or civilian employees (enumerated 
in Sec. 536.23(b)) acting within the scope of their employment, except 
for non-federalized Army National Guard soldiers as explained in subpart 
F of this part; or
    (2) Incident to the noncombat activities of the armed services (see 
AR 27-20, Glossary).
    (b) A tort claim arising in the United States, its commonwealths, 
territories, and possessions may be settled under this subpart if the 
Federal Tort Claims Act (FTCA) does not apply to the type of claim under 
consideration or if the claim arose incident to noncombat activities. 
For example, a claim by a service member for property loss or damage 
incident to service may be settled if the loss arises from a tort and is 
not payable under AR 27-20, Chapter 11.
    (c) A tort claim arising outside the United States may be settled 
under this subpart only if the claimant has been determined to be an 
inhabitant (normally a resident) of the United States at the time of the 
incident giving rise to the claim. See Sec. 536.136(b).



Sec. 536.75  Claims payable under the Military Claims Act.

    (a) General. Unless otherwise prescribed, a claim for personal 
injury, death, or damage to, or loss or destruction of, property is 
payable under this subpart when:
    (1) Caused by an act or omission of military personnel or civilian 
employees of the DA or DOD, acting within the scope of their employment, 
that is determined to be negligent or wrongful; or
    (2) Incident to the noncombat activities of the armed services.
    (b) Property. Property that may be the subject of claims for loss or 
damage under this subpart includes:
    (1) Real property used and occupied under lease (express, implied, 
or otherwise). See Sec. 536.34(m) and paragraph 2-15m of DA Pam 27-162.
    (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.
    (3) Registered or insured mail in the DA's possession, even though 
the loss was caused by a criminal act.
    (4) Property of a member of the armed forces that is damaged or lost 
incident to service, if such a claim is not payable as a personnel claim 
under AR 27-20, chapter 11.
    (c) Maritime claims. Claims that arise on the high seas or within 
the territorial waters of a foreign country are payable unless settled 
under subpart H of this part.



Sec. 536.76  Claims not payable under the Military Claims Act.

    (a) Those resulting wholly from the claimant's or agent's negligent 
or wrongful act. (See Sec. 536.77(a)(1)(i) on contributory negligence.)

[[Page 230]]

    (b) Claims arising from private or domestic obligations rather than 
from government transactions.
    (c) Claims based solely on compassionate grounds.
    (d) A claim for any item, the acquisition, possession, or 
transportation of which was in violation of DA directives, such as 
illegal war trophies.
    (e) Claims for rent, damage, or other payments involving the 
acquisition, use, possession or disposition of real property or 
interests therein by and for the Department of the Army (DA) or 
Department of Defense (DOD). See Sec. 536.34(m) and paragraph 2-15m of 
DA Pam 27-162.
    (f) Claims not in the best interests of the United States, contrary 
to public policy, or otherwise contrary to the basic intent of the 
governing statute (10 U.S.C. 2733); for example, claims for property 
damage or loss or personal injury or death of inhabitants of unfriendly 
foreign countries or individuals considered to be unfriendly to the 
United States. When a claim is considered not payable for the reasons 
stated in this section, it will be forwarded for appropriate action to 
the Commander USARCS, with the recommendations of the responsible claims 
office.
    (g) Claims presented by a national, or a corporation controlled by a 
national, of a country at war or engaged in armed conflict with the 
United States, or any country allied with such enemy country unless the 
appropriate settlement authority determines that the claimant is, and at 
the time of the incident was, friendly to the United States. A prisoner 
of war or an interned enemy alien is not excluded from bringing an 
otherwise payable claim for damage, loss, or destruction of personal 
property in the custody of the government.
    (h) A claim for damages or injury, which a receiving State should 
adjudicate and pay under an international agreement, unless a consistent 
and widespread alternative process of adjudicating and paying such 
claims has been established within the receiving State. See DA Pam 27-
162, paragraph 3-4a, for further discussion of the conditions of waiver.
    (i) Claims listed in Sec. Sec. 536.42, 536.43, 536.44, 536.45, and 
536.46 of this part, except for the exclusion listed in Sec. 536.45(k). 
Additionally, the exclusions in Sec. 536.45(a), (b), (e) and (k) do not 
apply to a claim arising incident to noncombat activities.
    (j) Claims based on strict or absolute liability and similar 
theories.
    (k) Claims payable under subparts D or J of this part, or under AR 
27-20, chapter 11.
    (l) Claims involving DA vehicles covered by insurance in accordance 
with requirements of a foreign country unless coverage is exceeded or 
the insurer is bankrupt. When an award is otherwise payable and an 
insurance settlement is not reasonably available, a field claims office 
should request permission from the Commander USARCS to pay the award, 
provided that an assignment of benefits is obtained.



Sec. 536.77  Applicable law for claims under the Military Claims Act.

    (a) General principles--(1) Tort claims excluding claims arising out 
of noncombat activities. (i) In determining liability, such claims will 
be evaluated under general principles of law applicable to a private 
individual in the majority of American jurisdictions, except where the 
doctrine of contributory negligence applies. The MCA requires that 
contributory negligence be interpreted and applied according to the law 
of the place of the occurrence, including foreign (local) law for claims 
arising in foreign countries (see 10 U.S.C. 2733(b)(4)).
    (ii) Claims are cognizable when based on those acts or omissions 
recognized as tortious by a majority of jurisdictions that require proof 
of duty, negligence, and proximate cause resulting in compensable injury 
or loss subject to the exclusions set forth at Sec. 536.76. Strict or 
absolute liability and similar theories are not grounds for liability 
under this subpart.
    (2) Tort claims arising out of noncombat activities. Claims arising 
out of noncombat activities under Sec. Sec. 536.75(a)(2) and (b) are 
not tort claims and require only proof of causation. However, the 
doctrine of contributory negligence will apply, to the extent set forth 
in 10 U.S.C. 2733(b)(4) and paragraph (a)(1)(i) of this section.
    (3) Principles applicable to all subpart C claims. (i) 
Interpretation of meanings

[[Page 231]]

and construction of questions of law under the MCA will be determined in 
accordance with federal law. The formulation of binding interpretations 
is delegated to the Commander USARCS, provided that the statutory 
provisions of the MCA are followed.
    (ii) Scope of employment will be determined in accordance with 
federal law. Follow guidance from reported FTCA cases. The formulation 
of a binding interpretation is delegated to the Commander USARCS, 
provided the statutory provisions of the MCA are followed.
    (iii) The collateral source doctrine is not applicable.
    (iv) The United States will only be liable for the portion of loss 
or damage attributable to the fault of the United States or its 
employees. Joint and several liability is inapplicable.
    (v) No allowance will be made for court costs, bail, interest, 
inconvenience or expenses incurred in connection with the preparation 
and presentation of the claim.
    (vi) Punitive or exemplary damages are not payable.
    (vii) Claims for negligent infliction of emotional distress may only 
be entertained when the claimant suffered physical injury arising from 
the same incident as the claim for emotional distress, or the claimant 
is the immediate family member of an injured party/decedent, was in the 
zone of danger and manifests physical injury for the emotional distress. 
Claims for intentional infliction of emotional distress will be 
evaluated under general principles of American law as set forth in 
paragraph (a)(1)(i) of this section and will be considered as an element 
of damages under paragraph (b)(3)(ii) of this section. Claims for either 
negligent or intentional infliction of emotional distress are excluded 
when they arise out of assault, battery, false arrest, false 
imprisonment, malicious prosecution, abuse of process, libel, or 
slander, as defined in Sec. 536.45(h).
    (viii) In a claim for personal injury or wrongful death, the total 
award for non-economic damages to any direct victim and all persons, 
including those derivative to the claim, who claim injury by or through 
that victim will not exceed $500,000. However, separate claims for 
emotional distress considered under paragraph (b)(1) of this section are 
not subject to the $500,000 cap for the wrongful death claim as they are 
not included in the wrongful death claim; rather, each is a separate 
claim with its own $500,000 cap under paragraph (b)(3)(ii) of this 
section. Continuous or repeated exposure to substantially the same or 
similar harmful activity or conditions is treated as one incident for 
the purposes of determining the extent of liability. If the claim 
accrued prior to September 1, 1995, these limitations do not apply. Any 
such limitation in the law of the place of occurrence will apply.
    (b) Personal injury claims--(1) Eligible claimants. Only the 
following may claim:
    (i) Persons who suffer physical injuries or intentional emotional 
distress, but not subrogees (when claiming property loss or damage, 
medical expenses or lost earnings); see paragraph (a)(3)(iii) of this 
section.
    (ii) Spouses for loss of consortium, but not parent-child or child-
parent loss of consortium;
    (iii) Members of the immediate family who were in the zone of danger 
of the injured person as defined in paragraph (a)(3)(vii) of this 
section.
    (2) Economic damages. Elements of economic damage are limited to the 
following:
    (i) Past expenses, including medical, hospital and related expenses 
actually incurred. Nursing and similar services furnished gratuitously 
by a family member are compensable. Itemized bills or other suitable 
proof must be furnished. Expenses paid by, or recoverable from, 
insurance or other sources are not recoverable.
    (ii) Future medical, hospital, and related expenses. When requested, 
a medical examination is required.
    (iii) Past lost earnings as substantiated by documentation from both 
the employer and a physician.
    (iv) Loss of earning capacity and ability to perform services, as 
substantiated by acceptable medical proof. When requested, past federal 
income tax forms must be submitted for the previous five years and the 
injured person must undergo an independent medical examination (IME). 
Estimates of

[[Page 232]]

future losses must be discounted to present value at a discount rate of 
one to three percent after deducting for income taxes. When a medical 
trust providing for all future care is established, personal consumption 
may be deducted from future losses.
    (v) Compensation paid to a person for essential household services 
that the injured person can no longer provide for himself or herself. 
These costs are recoverable only to the extent that they neither have 
been paid by, nor are recoverable from, insurance.
    (3) Non-economic damages. Elements of non-economic damages are 
limited to the following:
    (i) Past and future conscious pain and suffering. This element is 
defined as physical discomfort and distress as well as mental and 
emotional trauma. Loss of enjoyment of life, whether or not it is 
discernible by the injured party, is compensable. The inability to 
perform daily activities that one performed prior to injury, such as 
recreational activities, is included in this element. Supportive medical 
records and statements by health care personnel and acquaintances are 
required. When requested, the claimant must submit to an interview.
    (ii) Emotional distress. Emotional distress under the conditions set 
forth in paragraph (a)(3)(vii) of this section.
    (iii) Physical disfigurement. This element is defined as impairment 
resulting from an injury to a person that causes diminishment of beauty 
or symmetry of appearance rendering the person unsightly, misshapen, 
imperfect, or deformed. A medical statement and photographs, documenting 
claimant's condition, may be required.
    (iv) Loss of consortium. This element is defined as conjugal 
fellowship of husband and wife and the right of each to the company, 
society, cooperation, and affection of the other in every conjugal 
relation.
    (c) Wrongful death claims. The law of the place of the incident 
giving rise to the claim will apply to claims arising in the United 
States, its commonwealths, territories or possessions.
    (1) Claimant. (i) Only one claim may be presented for a wrongful 
death. It shall be presented by the decedent's personal representative 
on behalf of all parties in interest. The personal representative must 
be appointed by a court of competent jurisdiction prior to any 
settlement and must agree to make distribution to the parties in 
interest under court jurisdiction, if required.
    (ii) Parties in interest are the surviving spouse, children, or 
dependent parents to the exclusion of all other parties. If there is no 
surviving spouse, children, or dependent parents, the next of kin will 
be considered a party or parties in interest. A dependent parent is one 
who meets the criteria set forth by the Internal Revenue Service to 
establish eligibility for a DOD identification card.
    (2) Economic loss. Elements of economic damages are limited to the 
following:
    (i) Loss of monetary support of a family member from the date of 
injury causing death until expiration of decedent's worklife expectancy. 
When requested, the previous five years federal income tax forms must be 
submitted. Estimates must be discounted to present value at one to three 
percent after deducting for taxes and personal consumption. Loss of 
retirement benefits is compensable and similarly discounted after 
deductions.
    (ii) Loss of ascertainable contributions, such as money or gifts to 
other than family member claimants as substantiated by documentation or 
statements from those concerned.
    (iii) Loss of services from date of injury to end of life expectancy 
of the decedent or the person reasonably expected to receive such 
services, whichever is shorter.
    (iv) Expenses as set forth in paragraph (b)(2)(i) of this section. 
In addition, burial expenses are allowable. Expenses paid by, or 
recoverable from, insurance or other sources are not recoverable.
    (3) Non-economic loss. Elements of damages are limited to the 
following:
    (i) Pre-death conscious pain and suffering.
    (ii) Loss of companionship, comfort, society, protection, and 
consortium suffered by a spouse for the death of a spouse, a child for 
the death of a parent, or a parent for the death of a child.

[[Page 233]]

    (iii) Loss of training, guidance, education, and nurture suffered by 
a child under the age of 18 for the death of a parent, until the child 
becomes 18 years old.
    (iv) Claims for the survivors' emotional distress, mental anguish, 
grief, bereavement, and anxiety are not payable, in particular claims 
for intentional or negligent infliction of emotional distress to 
survivors arising out of the circumstances of a wrongful death are 
personal injury claims falling under Sec. 536.77(b)(3).
    (d) Property damage claims. The following provisions apply to all 
claims arising in the United States, its commonwealths, territories and 
possessions.
    (1) Such claims are limited to damage to, or loss of, tangible 
property and costs directly related thereto. Consequential damages are 
not included. (See Sec. 536.50(e) and DA Pam 27-162, paragraph 2-56a.)
    (2) Proper claimants are described in Sec. 536.27. Claims for 
subrogation are excluded. (See Sec. 536.27(e)). However, there is no 
requirement that the claimant use personal casualty insurance to 
mitigate the loss.
    (3) Allowable elements of damages and measure of proof (additions to 
these elements are permissible with concurrence of the Commander 
USARCS). These elements are discussed in detail in DA Pam 27-162, 
paragraph 2-54.
    (i) Damages to real property.
    (ii) Damage to or loss of personal property, or personal property 
that is not economically repairable.
    (iii) Loss of use.
    (iv) Towing and storage charges.
    (v) Loss of business or profits.
    (vi) Overhead.



Sec. 536.78  Settlement authority for claims under the Military Claims Act.

    (a) Authority of the Secretary of the Army. The Secretary of the 
Army, the Army General Counsel, as the Secretary's designee, or another 
designee of the Secretary of the Army may approve settlements in excess 
of $100,000.
    (b) Delegations of Authority. (1) Denials and final offers made 
under the delegations set forth herein are subject to appeal to the 
authorities specified in paragraph (d) of this section.
    (2) The Judge Advocate General (TJAG) and the Assistant Judge 
Advocate General (TAJAG) are delegated authority to pay up to $100,000 
in settlement of a claim and to disapprove a claim regardless of the 
amount claimed.
    (3) The Commander USARCS is delegated authority to pay up to $25,000 
in settlement of a claim and to disapprove or make a final offer in a 
claim regardless of the amount claimed.
    (4) The Judge Advocate (JA) or Staff Judge Advocate (SJA), subject 
to limitations that USARCS may impose, and chiefs of a command claims 
service are delegated authority to pay up to $25,000 in settlement, 
regardless of the amount claimed, and to disapprove or make a final 
offer in a claim presented in an amount not exceeding $25,000.
    (5) A head of an area claims office (ACO) is delegated authority to 
pay up to $25,000 in settlement of a claim, regardless of the amount 
claimed, and to disapprove or make a final offer in a claim presented in 
an amount not exceeding $25,000. A head of a claims processing office 
(CPO) with approval authority is delegated authority to approve, in full 
or in part, claims presented for $5,000 or less, and to pay claims 
regardless of the amount claimed, provided an award of $5,000 or less is 
accepted in full satisfaction of the claim.
    (6) Authority to further delegate payment authority is set forth in 
Sec. 536.3(g)(1) of this part. For further discussions also related to 
approval, settlement and payment authority see also paragraph 2-69 of DA 
Pam 27-162.
    (c) Settlement of multiple claims arising from a single incident. 
(1) Where a single act or incident gives rise to multiple claims 
cognizable under this subpart, and where one or more of these claims 
apparently cannot be settled within the monetary jurisdiction of the 
authority initially acting on them, no final offer will be made. All 
claims will be forwarded, along with a recommended disposition, to the 
authority who has monetary jurisdiction over the largest claim for a 
determination

[[Page 234]]

of liability. However, where each individual claim, including derivative 
claims, can be settled within the monetary authority initially acting on 
them, and none are subject to denial, all such claims may be settled 
even though the total amount exceeds the monetary jurisdiction of the 
approving or settlement authority.
    (2) If such authority determines that federal liability is 
established, he or she may return claims of lesser value to the field 
claims office for settlement within that office's jurisdiction. The 
field claims office must take care to avoid compromising the higher 
authority's discretion by conceding liability in claims of lesser 
amount.
    (d) Appeals. Denials or final offers on claims described as follows 
may be appealed to the official designated:
    (1) For claims presented in an amount over $100,000, final decisions 
on appeals will be made by the Secretary of the Army or designee.
    (2) For claims presented for $100,000 or less, and any denied claim, 
regardless of the amount claimed, in which the denial was based solely 
upon an incident-to-service bar, exclusionary language in a federal 
statute governing compensation of federal employees for job-related 
injuries (see Sec. 536.44), or untimely filing, TJAG or TAJAG will 
render final decisions on appeals, except that claims presented for 
$25,000 or less, and not acted upon by the Commander USARCS, are 
governed by paragraph (d)(3) of this section.
    (3) For claims presented for $25,000 or less, final decisions on 
appeals will be made by the Commander USARCS, his or her designee, or 
the chief of a command claims service when such claims are acted on by 
an ACO under such service's jurisdiction.
    (4) Sections 536.64, 536.65, and 536.66 of this part set forth the 
rules relating to the notification of appeal rights and processing.
    (e) Delegated authority. Authority delegated by this section will 
not be exercised unless the settlement or approval authority has been 
assigned an office code.



Sec. 536.79  Action on appeal under the Military Claims Act.

    (a) 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 regulation. The settlement 
authority will also examine the claim file and decide whether additional 
investigation is required; ensure that all allegations or evidence 
presented by the claimant, agent, or attorney are documented; and ensure 
that all pertinent evidence is included. If claimants state that they 
appeal, but do not submit supporting materials within the 60-day appeal 
period or an approved extension thereof, these appeals will be 
determined on the record as it existed at the time of denial or final 
offer. Unless action under paragraph (b) of this section is taken, the 
claim and complete investigative file, including any additional 
investigation, and a tort claims memorandum will be forwarded to the 
appropriate appellate authority for necessary action on the appeal.
    (b) If the evidence in the file, including information submitted by 
the claimant with the appeal and that found by 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 a settlement cannot 
be reached, the appeal will be forwarded in accordance with paragraph 
(a) of this section.
    (c) As to an appeal that requires action by TJAG, TAJAG, or the 
Secretary of the Army or designee, the Commander USARCS may take the 
action in paragraph (b) of this section or forward the claim together 
with a recommendation for action. All matters submitted by the claimant 
will be forwarded and considered.
    (d) Since an appeal under this subpart is not an adversarial 
proceeding, no form of hearing is authorized. A request by the claimant 
for access to documentary evidence in the claim file to be used in 
considering the appeal will be granted unless law or regulation does not 
permit access.

[[Page 235]]

    (e) If the appellate authority upholds a final offer or authorizes 
an award on appeal from a denial of a claim, the notice of the appellate 
authority's action will inform the claimant that he or she must accept 
the award within 180 days of the date of mailing of the notice of the 
appellate authority's action or the award will be withdrawn, the claim 
will be deemed denied, and the file will be closed without future 
recourse.



Sec. 536.80  Payment of costs, settlements, and judgments related to certain 

medical malpractice claims.

    (a) General. Costs, settlements, or judgments cognizable under 10 
U.S.C. 1089(f) for personal injury or death caused by any physician, 
dentist, nurse, pharmacist, paramedic, or other supporting personnel 
(including medical and dental technicians, nurse assistants, therapists, 
and Red Cross volunteers of the Army Medical Department (AMEDD), AMEDD 
personnel detailed for service with other than a federal department, 
agency, or instrumentality and direct contract personnel identified in 
the contract as federal employees), will be paid provided that:
    (1) The alleged negligent or wrongful actions or omissions occurred 
during the performance of medical, dental, or related health care 
functions (including clinical studies and investigations) while the 
medical or health care employee was acting within the scope of 
employment.
    (2) Such personnel furnish prompt notification and delivery of all 
process served or received and other documents, information, and 
assistance as requested.
    (3) Such personnel cooperate in the defense of the action on its 
merits.
    (b) Requests for contribution or indemnification. All requests for 
contribution or indemnification under this section should be forwarded 
to the Commander USARCS for action, following the procedures set forth 
in this subpart.



Sec. 536.81  Payment of costs, settlements, and judgments related to certain 

legal malpractice claims.

    (a) General. Costs, settlements, and judgments cognizable under 10 
U.S.C. 1054(f) for damages for personal injury or loss of property 
caused by any attorney, paralegal, or other member of a legal staff will 
be paid if:
    (1) The alleged negligent or wrongful actions or omissions occurred 
during the provision or performance of legal services while the attorney 
or legal employee was acting within the scope of duties or employment;
    (2) Such personnel furnish prompt notification and delivery of all 
process served or received and other documents, information, and 
assistance as requested;
    (3) Such personnel cooperate in the defense of the action on the 
merits.
    (b) Requests for contribution or indemnification. All requests for 
contribution or indemnification under this section should be forwarded 
to the Commander USARCS, for action, following the procedures set forth 
in this subpart.



Sec. 536.82  Reopening an MCA claim after final action by a settlement 

authority.

    (a) Original approval or settlement authority (including TAJAG, 
TJAG, Secretary of the Army, or the Secretary's designees). (1) An 
original settlement authority may reconsider the denial of, or final 
offer on, a claim brought under the MCA upon request of the claimant or 
the claimant's authorized agent. In the absence of such a request, the 
settlement authority may on his or her initiative reconsider a claim.
    (2) An original approval or settlement authority may reopen and 
correct action on an MCA claim previously settled in whole or in part 
(even if a settlement agreement has been executed) when it appears that 
the original action was incorrect in law or fact based on the evidence 
of record at the time of the action or subsequently received. For errors 
in fact, the new evidence must not have been discoverable at the time of 
final action by either the Army or the claimant through the exercise of 
reasonable diligence. Corrective action may also be taken when an error 
contrary to the parties' mutual understanding is discovered in the 
original action. If the settlement or approval authority determines that 
their original action was incorrect, they will modify the action and, if 
appropriate, make a supplemental payment. The basis for a

[[Page 236]]

change in action will be stated in a memorandum included in the file. 
For example, a claim was settled for $15,000, but the settlement 
agreement was typed to read ``$1,500'' and the error is not discovered 
until the file is being prepared for payment. If appropriate, a 
corrected payment will be made. A settlement authority who has reason to 
believe that a settlement was obtained by fraud on the part of the 
claimant or claimant's legal representative, will reopen action on that 
claim and, if the belief is substantiated, correct the action. The basis 
for correcting an action will be stated in a memorandum and included in 
the file.
    (b) A successor approval or settlement authority (including TAJAG, 
TJAG, Secretary of the Army, or the Secretary's designees)--(1) 
Reconsideration. A successor approval or settlement authority may 
reconsider the denial of, or final offer on, an MCA claim upon request 
of the claimant or the claimant's authorized agent only on the basis of 
fraud, substantial new evidence, errors in calculation, or mistake 
(misinterpretation) of law.
    (2) Settlement correction. A successor approval or settlement 
authority may reopen and correct a predecessor's action on a claim that 
was previously settled in whole or in part for the same reasons that an 
original authority may do so.
    (c) Time requirement for filing request for reconsideration. 
Requests postmarked more than five years from the date of mailing of 
final notice will be denied based on the doctrine of laches.
    (d) Finality of action. Action by the appropriate authority (either 
affirming the prior action or granting full or granting full or partial 
relief) is final under the provisions of 10 U.S.C. 2735. Action upon a 
request for reconsideration constitutes final administrative disposition 
of a claim. No further requests for reconsideration will be allowed 
except on the basis of fraud.



      Subpart D_Claims Cognizable Under the Federal Tort Claims Act



Sec. 536.83  Statutory authority for the Federal Tort Claims Act.

    The statutory authority for this subpart is the Federal Tort Claims 
Act (FTCA) (60 Stat. 842, 28 U.S.C. 2671-2680), as amended by Public Law 
89-506, July 1966 (80 Stat. 306); Public Law 93-253, March 1974 (88 
Stat. 50); Public Law 97-124, December 1981 (93 Stat. 1666); Public Law 
100-694, November 1988 (102 Stat. 4563-67); and Public Law 101-552, 
November 1996 (104 Stat. 734); and as implemented by the Attorney 
General's Regulations (28 CFR 14.1-14.11 and its appendix), all of which 
are posted on the USARCS Web site; for the address see Sec. 536.2(a).



Sec. 536.84  Scope for claims under the Federal Tort Claims Act.

    (a) General. This subpart applies in the United States, its 
commonwealths, territories and possessions (all hereinafter collectively 
referred to as United States or U.S.). It prescribes the substantive 
bases and special procedural requirements under the FTCA and the 
implementing Attorney General's regulations for the administrative 
settlement of claims against the United States based on death, personal 
injury, or damage to, or loss of, property caused by negligent or 
wrongful acts or omissions by the United States or its employees acting 
within the scope of their employment. If a conflict exists between this 
part and the Attorney General's regulations, the latter governs.
    (b) Effect of the Military Claims Act. A tort claim arising in the 
United States, its commonwealths, territories, and possessions may be 
settled under subpart C of this part if the Federal Tort Claims Act 
(FTCA) does not apply to the type of claim under consideration or if the 
claim arose incident to noncombat activities. If a claim is filed under 
both the FTCA and the Military Claims Act (MCA), or when both statutes 
apply equally, final action thereon will follow the procedures set forth 
in DA Pam 27-162, paragraphs 2-74 through 2-76, discussing final offers 
and denial letters.



Sec. 536.85  Claims payable under the Federal Tort Claims Act.

    (a) Unless otherwise prescribed, claims for death, personal injury, 
or damage to, or loss of, property (real or personal) are payable under 
this subpart when the injury or damage is

[[Page 237]]

caused by negligent or wrongful acts or omissions of military personnel 
or civilian employees of the Department of the Army or Department of 
Defense 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 waiver of sovereign 
immunity without which the United States may not be sued in tort. 
Similarly, neither the Fifth Amendment nor any other provision of the 
U.S. Constitution creates or permits a federal cause of action allowing 
recovery in tort. Immunity must be expressly waived, as the FTCA waives 
it.
    (b) To be payable, a claim must arise from the acts or omissions of 
an ``employee of the government'' under 28 U.S.C. 2671. Categories of 
such employees are listed in Sec. 536.23(b) of this part.



Sec. 536.86  Claims not payable under the Federal Tort Claims Act.

    A claim is not payable if it is identified as an exclusion in DA Pam 
27-162, paragraphs 2-36 through 2-43.



Sec. 536.87  Applicable law for claims under the Federal Tort Claims Act.

    The applicable law for claims falling under the Federal Tort Claims 
Act is set forth in Sec. Sec. 536.41 through 536.52.



Sec. 536.88  Settlement authority for claims under the Federal Tort Claims 

Act.

    (a) General. Subject to the Attorney General's approval of payments 
in excess of $200,000 for a single claim, or if the total value of all 
claims and potential claims arising out of a single incident exceeds 
$200,000 (for which USARCS must write an action memorandum for 
submission to the Department of Justice), the following officials are 
delegated authority to settle (including payment in full or in part, or 
denial) and make final offers on claims under this subpart:
    (1) The Judge Advocate General (TJAG);
    (2) The Assistant Judge Advocate General (TAJAG); and
    (3) The Commander USARCS.
    (b) ACO heads. A head of an area claims office (ACO) is delegated 
authority to pay up to $50,000 in settlement of a claim, regardless of 
the amount claimed, and to disapprove or make a final offer in a claim 
presented in an amount not exceeding $50,000, provided the value of all 
claims and potential claims arising out of a single incident does not 
exceed $200,000.
    (c) CPO heads. A head of a claims processing office (CPO) with 
approval authority is delegated authority to approve, in full or in 
part, claims presented for $5,000 or less, and to pay claims regardless 
of amount, provided an award of $5000 or less is accepted in full 
satisfaction of the claim.
    (d) Further guidance. Authority to further delegate payment 
authority is set forth in Sec. 536.3(g)(1) of this part. For further 
discussions related to approval, settlement and payment authority, see 
paragraphs 2-69 and 2-71 of DA Pam 27-162.
    (e) Settlement of multiple claims from a single incident. (1) Where 
a single act or incident gives rise to multiple claims cognizable under 
this subpart, and where one claim cannot be settled within the monetary 
jurisdiction for one claim of the authority acting on the claim or all 
claims cannot be settled within the monetary jurisdiction for a single 
incident, no final offer will be made. All claims will be forwarded, 
along with a recommended disposition, to the Commander USARCS.
    (2) If the Commander USARCS determines that all claims can be 
settled for a total of $200,000 or less, he may return claims to the 
field office for settlement. If the Commander USARCS, determines that 
all claims cannot be settled for a total of $200,000, he must request 
Department of Justice authority prior to settlement of any one claim. 
The field claims office must not concede liability by paying any one 
claim of lesser value.



Sec. 536.89  Reconsideration of Federal Tort Claims Act claims.

    (a) Reconsideration of paid claims. Under the provision of 28 U.S.C. 
2672, neither an original or successor authority may reconsider a claim 
which has been paid except as expressly set forth below. Payment of an 
amount for

[[Page 238]]

property damage will bar payment for personal injury or death except for 
a split claim provided the provisions of Sec. 536.60 are followed. 
Supplemental payments for either property or injury are barred by 10 
U.S.C. 2672. Accordingly, claimants will be informed that only one claim 
or payment is permitted.
    (b) Notice of right to reconsideration. Notice of disapproval or 
final offer issued by an authority listed in Sec. 536.88(b) will advise 
the claimant of a right to reconsideration to be submitted in writing 
not later than six months from the date of mailing the notice. Such a 
request will suspend the requirement to bring suit for a minimum of six 
month or until action is taken on the request. The claimant will be so 
informed. See the Attorney General's Regulations at 28 CFR 14.9(b), 
posted on the USARCS Web site; for the address see Sec. 536.2(a).
    (c) Original approval or settlement authority--(1) Reconsideration. 
An original settlement authority may reconsider the denial of, or final 
offer on, a claim brought under the FTCA upon request of the claimant or 
the legal representative.
    (2) Settlement correction. An original approval or settlement 
authority may reopen and correct action on a claim previously settled in 
whole or in part (even if a settlement agreement has been executed) when 
an error contrary to the parties' mutual understanding is discovered in 
the original action. For example: a claim was settled for $15,000, but 
the settlement agreement was typed to read ``$1,500'' and the error is 
not discovered until the file is being prepared for payment. If 
appropriate, a corrected payment will be made. An approval or settlement 
authority who has reason to believe that a settlement was obtained by 
fraud on the part of the claimant or claimant's legal representative 
will reopen action on that claim, and if the belief is substantiated, 
correct the action. The basis for correcting an action will be stated in 
a memorandum and included in the file.
    (d) A successor approval or settlement authority--(1) 
Reconsideration. A successor approval or settlement authority may 
reconsider the denial of, or final offer on, an FTCA claim upon request 
of the claimant, the claimant's authorized agent, or the claimant's 
legal representative only on the basis of fraud, substantial new 
evidence, errors in calculation, or mistake (misinterpretation) of law.
    (2) Settlement correction. A successor approval or settlement 
authority may reopen and correct a predecessor's action on a claim that 
was previously settled in whole or in part for the same reasons that an 
original authority may do so.
    (e) Requirement to forward a request for reconsideration. When full 
relief is not granted, forward all requests for reconsideration of an 
ACO's denial or final offer to the Commander USARCS for action. Include 
all investigative material and legal analyses generated by the request.
    (f) Action prior to forwarding. A request for reconsideration should 
disclose fully the legal and/or factual bases that the claimant has 
asserted as grounds for relief and provide appropriate supporting 
documents or evidence. Following completion of any investigation or 
other action deemed necessary for an informed disposition of the 
request, the approval or settlement authority will reconsider the claim 
and attempt to settle it, granting relief as warranted. When further 
settlement efforts appear unwarranted, the entire file with a memorandum 
of opinion will be forwarded to the Commander USARCS. The claimant will 
be informed of such transfer.
    (g) Finality of action. Action by the appropriate authority (either 
affirming the prior action or granting full or partial relief) upon a 
request for reconsideration constitutes final administrative disposition 
of a claim. No further requests for reconsideration will be allowed 
except on the basis of fraud. Attempted further requests for 
reconsideration on other grounds will not toll the six-month period set 
forth in 28 U.S.C. 2401(b).



       Subpart E_Claims Cognizable Under the Non-Scope Claims Act



Sec. 536.90  Statutory authority for the Non-Scope Claims Act.

    The statutory authority for this subpart is set forth in the Act of 
October

[[Page 239]]

1962, 10 U.S.C. 2737, 76 Stat. 767, commonly called the ``Non-Scope 
Claims Act (NSCA).''



Sec. 536.91  Scope for claims under the Non-Scope Claims Act.

    (a) This subpart applies worldwide and prescribes the substantive 
bases and special procedural requirements for the administrative 
settlement and payment of not more than $1,000 for any claim against the 
United States for personal injury, death or damage to, or loss of, 
property caused by military personnel or civilian employees, incident to 
the use of a U.S. vehicle at any location, or incident to the use of 
other U.S. property on a government installation, which claim is not 
cognizable under any other provision of law.
    (b) For the purposes of this subpart, 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 means of 
transportation on land (1 U.S.C. 4).
    (c) Any claim in which there appears to be a dispute about whether 
the employee was acting within the scope of employment will be 
considered under subparts C, D, or F of this part. Only when all 
parties, including an insurer, agree that there is no ``in scope'' issue 
will the claim be considered under this subpart.



Sec. 536.92  Claims payable under the Non-Scope Claims Act.

    (a) General. A claim for personal injury, death, or damage to, or 
loss of, property, real or personal, is payable under this subpart when:
    (1) Caused by negligent or wrongful acts or omissions of Department 
of Defense or Department of the Army (DA) military personnel or civilian 
employees, as listed in Sec. 536.23(b):
    (i) Incident to the use of a vehicle belonging to the United States 
at any place or;
    (ii) Incident to the use of any other property belonging to the 
United States on a government installation.
    (2) The claim is not payable under any other claims statute or 
regulation available to the DA for the administrative settlement of 
claims.
    (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 under the Non-Scope Claims Act.

    Under this subpart, a claim is not payable that:
    (a) Results in whole or in part from the negligent or wrongful act 
of the claimant or his or her agent or employee. The doctrine of 
comparative negligence does not apply.
    (b) Is for medical, hospital, or burial expenses furnished or paid 
by the United States.
    (c) Is for any element of damage pertaining to personal injuries or 
death other than as provided in Sec. 536.93(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 substitute 
property, for example, a rental.
    (e) Is legally recoverable by the claimant under an indemnifying law 
or indemnity contract. If the claim is in part legally recoverable, the 
part recoverable by the claimant is not payable.
    (f) Is a subrogated claim.
    (g) In some circumstances some claims may be partially payable. See 
DA Pam 27-162, paragraph 5-4 for more information on claims that may be 
partially payable.



Sec. 536.94  Settlement authority for claims under the Non-Scope Claims Act.

    (a) Settlement authority. The following are delegated authority to 
pay up to

[[Page 240]]

$1,000 in settlement of each claim arising out of one incident and to 
disapprove a claim presented in any amount under this subpart:
    (1) The Judge Advocate General (TJAG);
    (2) The Assistant Judge Advocate General (TAJAG);
    (3) The Commander USARCS;
    (4) The Judge Advocate (JA) or Staff Judge Advocate (SJA) or chief 
of a command claims service; and
    (5) The head of an area claims office (ACO).
    (b) Approval authority. The head of a claims processing office (CPO) 
with approval authority is delegated authority to approve and pay, in 
full or in part, claims presented for $1,000 or less and to compromise 
and pay, regardless of amount claimed, an agreed award of $1,000 or 
less.
    (c) Further guidance. Authority to further delegate payment 
authority is set forth in Sec. 536.3(g)(1) of this part. For further 
discussions also related to approval, settlement and payment authority, 
see also paragraphs 2-69 and 2-71 of DA Pam 27-162.



Sec. 536.95  Reconsideration of Non-Scope Claims Act claims.

    The provisions of Sec. 536.89 addressing reconsideration apply and 
are incorporated herein by reference. If the claim is not cognizable 
under the Federal Tort Claims Act, appellate procedures under the 
Military Claims Act or NGCA apply.



     Subpart F_Claims Cognizable Under the National Guard Claims Act



Sec. 536.96  Statutory authority for the National Guard Claims Act.

    The statutory authority for this subpart is contained in the Act of 
September 1960 (32 U.S.C. 715, 74 Stat. 878), commonly referred to as 
the ``National Guard Claims Act'' (NGCA), as amended by Public Law 87-
212, (75 Stat. 488), September 1961; Public Law 90-486, (82 Stat. 756), 
August 1968; Public Law 90-521, (82 Stat. 874), September 1968; Public 
Law 90-525, (82 Stat. 877), September 1968; Public Law 91-312, (84 Stat. 
412), July 1970; Public Law 93-336, (88 Stat. 291), July 1974; and 
Public Law 98-564, (98 Stat. 2918), October 1984.



Sec. 536.97  Scope for claims under the National Guard Claims Act.

    This subpart applies worldwide and prescribes the substantive bases 
and special procedural regulations for the settlement of claims against 
the United States for death, personal injury, damage to, or loss or 
destruction of property.
    (a) Soldiers of the Army National Guard (ARNG) can perform military 
duty in an active duty status under the authority of Title 10 of the 
United States Code, in a full-time National Guard duty or inactive-duty 
training status under the authority of Title 32 of the United States 
Code, or in a state active duty status under the authority of a state 
code.
    (1) When ARNG soldiers perform active duty, they are under federal 
command and control and are paid from federal funds. For claims 
purposes, those soldiers are treated as active duty soldiers. The NGCA, 
32 U.S.C. 715, does not apply.
    (2) When ARNG soldiers perform full-time National Guard duty or 
inactive-duty training, they are under state command and control and are 
paid from federal funds. The NGCA does apply, but as explained in 
paragraph (c) of this section it is seldom used.
    (3) When ARNG soldiers perform state active duty, they are under 
state command and control and are paid from state funds. Federal claims 
statutes do not apply, but state claims statutes may apply.
    (b) The ARNG also employs civilians, referred to as technicians and 
employed under 32 U.S.C. 709. Technicians are usually, but not always, 
ARNG soldiers who perform the usual 15 days of annual training (a 
category of full-time duty) and 48 drills (inactive-duty training) per 
year.
    (c) NGCA coverage applies only to ARNG soldiers performing full-time 
National Guard duty or inactive-duty training and to technicians. 
However, since the NGCA's enactment in 1960, Congress has also extended 
Federal Tort Claims Act (FTCA) coverage to these personnel.

[[Page 241]]

    (1) In 1968, technicians, who were state employees formerly, were 
made federal employees. Along with federal employee status came FTCA 
coverage. Technicians no longer have any state status, albeit they are 
hired, fired, and administered by a state official, the Adjutant 
General, acting as the agent of the federal government.
    (2) In 1981, Congress extended FTCA coverage to ARNG soldiers 
performing full-time National Guard duty or inactive-duty training (such 
as any training or other duty under 32 U.S.C. 316, 502-505). Unlike 
making technicians federal employees, this extension of coverage did not 
affect their underlying status as state military personnel.
    (d) Claims arising from the negligent acts or omissions of ARNG 
soldiers performing full-time National Guard duty or inactive-duty 
training, or of technicians, will be processed under the FTCA. 
Therefore, the NGCA is generally relevant only to claims arising from 
noncombat activities or outside the United States. Additionally, claims 
by members of the National Guard may be paid for property loss or damage 
incident to service if the claim is based on activities falling under 
this subpart and is not payable under AR 27-20, chapter 11.



Sec. 536.98  Claims payable under the National Guard Claims Act.

    The provisions of Sec. 536.75 apply to claims arising under this 
subpart.



Sec. 536.99  Claims not payable under the National Guard Claims Act.

    The provisions of Sec. 536.76 apply to claims arising under this 
subpart.



Sec. 536.100  Applicable law for claims under the National Guard Claims Act.

    The provisions of Sec. 536.77 apply to claims arising under this 
subpart.



Sec. 536.101  Settlement authority for claims under the National Guard Claims 

Act.

    The provisions of Sec. 536.78 apply to claims arising under this 
subpart.



Sec. 536.102  Actions on appeal under the National Guard Claims Act.

    The provisions of Sec. 536.79 apply to claims arising under this 
subpart.



       Subpart G_Claims Cognizable Under International Agreements



Sec. 536.103  Statutory authority for claims cognizable under international 

claims agreements.

    The authority for claims presented or processed under this subpart 
is set forth in the following federal laws and bi- or multinational 
agreements:
    (a) 10 U.S.C. 2734a and 10 U.S.C. 2734b (the International 
Agreements Claims Act) as amended, for claims arising overseas under 
international agreements.
    (b) Various international agreements, such as the North Atlantic 
Treaty Organization (NATO) Status of Forces Agreement (SOFA) and the 
Partnership for Peace (PFP) SOFA.



Sec. 536.104  Current agreements in force.

    Current listings of known agreements in force are also posted on the 
USARCS Web site; for the address see Sec. 536.2(a).



Sec. 536.105  Responsibilities generally/international agreements claims.

    (a) The Commander USARCS is responsible for:
    (1) Providing policy guidance to command claims services or other 
responsible judge advocate (JA) offices on SOFA or other treaty 
reimbursement programs implementing 10 U.S.C. 2734a and 2734b.
    (2) Monitoring the reimbursement system to ensure that programs for 
the proper verification and certification of reimbursement are in place.
    (3) Monitoring funds reimbursed to or by foreign governments.
    (b) Responsibilities in the continental United States (CONUS). The 
responsibility for implementing these agreements within the United 
States has been delegated to the Secretary of the Army (SA). The SA, in 
turn, has delegated that responsibility to the Commander USARCS, who is 
in charge of the receiving State office for the United States, as 
prescribed in DODD

[[Page 242]]

5515.8. The Commander USARCS is responsible for maintaining direct 
liaison with sending State representatives and establishing procedures 
designed to carry out the provisions of this subpart.



Sec. 536.106  Definitions for international agreements claims.

    (a) Force and civilian component of force. Members of the sending 
State's armed forces on temporary or permanent official duty within the 
receiving State, civilian employees of the sending State's armed forces, 
and those individuals acting in an official capacity for the sending 
State's armed forces. However, under provisions of the applicable SOFAs 
the sending State and the receiving State may agree to exclude from the 
definition of ``force'' certain individuals, units or formations that 
would otherwise be covered by the SOFA. Where such an exclusion has been 
created, this subpart will not apply to claims arising from actions or 
omission by those individuals, units or formations. ``Force and civilian 
component of force'' also includes claims arising out of acts or 
omissions made by military or civilian personnel, regardless of 
nationality, who are assigned or attached to, or employed by, an 
international headquarters established under the provisions of the 
Protocol on the Status of International Military Headquarters Set Up 
Pursuant to the North Atlantic Treaty, dated August 28, 1952, such as 
Supreme Allied Command, Atlantic.
    (b) Types of claims under agreements--(1) Intergovernmental claims. 
Claims of one contracting party against any other contracting party for 
damage to property owned by its armed services, or for injury or death 
suffered by a member of the armed services engaged in the performance of 
official duties, are waived. Claims above a minimal amount for damage to 
property owned by a governmental entity other than the armed services 
may be asserted. NATO SOFA, Article VIII, paragraph 1-4; Singapore SOFA, 
Article XVI, paragraph 2-3.
    (2) Third-party scope claims. Claims arising out of any acts or 
omissions of members of a force or the civilian component of a sending 
State done in the performance of official duty or any other act, 
omission, or occurrence for which the sending State is legally 
responsible shall be filed, considered and settled in accordance with 
the laws and regulations of the receiving State with respect to claims 
arising from the activities of its own armed service; see, for example, 
NATO SOFA, Article VIII, paragraph 5.
    (3) Ex gratia claims. Claims arising out of tortious acts or 
omissions not done in the performance of official duties shall be 
considered by the sending State for an ``ex gratia'' payment that is 
made directly to the injured party; see, for example, NATO SOFA, Article 
VIII, paragraph 6.



Sec. 536.107  Scope for international agreements claims arising in the United 

States.

    This section sets forth procedures and responsibilities for the 
investigation, processing, and settlement of claims arising out of any 
acts or omissions of members of a foreign military force or civilian 
component present in the United States or a territory, commonwealth, or 
possession thereof under the provisions of cost sharing reciprocal 
international agreements which contain claims settlement provisions 
applicable to claims arising in the United States. Article VIII of the 
NATO SOFA has reciprocal provisions applying to all NATO member 
countries; the Partnership for Peace (PFP) Agreement has similiar 
provisions, as do the Singapore and Australian SOFAs.



Sec. 536.108  Claims payable under international agreements (for those arising 

in the United States).

    (a) Within the United States, Art. VIII, NATO SOFA applies to claims 
arising within the North Atlantic Treaty Area, which includes CONUS and 
its territories and possessions north of the Tropic of Cancer (23.5 
degrees north latitude). This excludes Puerto Rico, the Virgin Islands, 
and parts of Hawaii. Third-party scope claims are payable under subpart 
D or, if the claim arises incident to noncombat activities, under 
subpart C of this part. Maritime claims are payable under subpart H of

[[Page 243]]

this part. The provisions of these subparts on what claims are payable 
apply equally here. The members of the foreign force or civilian 
component must be acting in pursuance of the applicable treaty's 
objectives.
    (b) Within the United States, third-party ex gratia claims are 
payable only by the sending State and are not payable under subpart E of 
this part.



Sec. 536.109  Claims not payable under international agreements (for those 

arising in the United States).

    The following claims are not payable:
    (a) Claims arising from a member of a foreign force or civilian 
component's acts or omissions that do not accord with the objectives of 
a treaty authorizing their presence in the United States.
    (b) Claims arising from the acts or omissions of a member of a 
foreign force or civilian component who has been excluded from SOFA 
coverage by agreement between the sending State and the United States.
    (c) Third-party scope claims arising within the United States that 
are not payable under subparts C, D, or H of this part are listed as 
barred under those subparts. As sending State forces are considered 
assimilated into the U.S. Armed Services for purposes of the SOFAs, 
their members are also barred from receiving compensation from the 
United States when they are injured incident to their service, Daberkow 
v. United States, 581 F.2d 785 (9th Cir. 1978).



Sec. 536.110  Notification of incidents arising under international agreements 

(for claims arising in the United States).

    To enable USARCS to properly discharge its claims responsibilities 
under the applicable SOFAs, it must be notified of all incidents, 
including off-duty incidents, in which members of a foreign military 
force or civilian component are involved. Any member or employee of the 
U.S. armed services who learns of an incident involving a member of a 
foreign military force or civilian component resulting in personal 
injury, death, or property damage will immediately notify the judge 
advocate (JA) or legal officer at the installation or activity to which 
such person is assigned or attached. The JA or legal officer receiving 
such notification will in turn notify the Commander USARCS. If the 
member is neither assigned nor attached to any installation or activity 
within the United States, the Commander USARCS, will be notified.



Sec. 536.111  Investigation of claims arising under international agreements 

(for those claims arising in the United States).

    Responsibility for investigating an incident rests upon the area 
claims office (ACO) or claims processing office (CPO) responsible for 
the geographic area in which the incident occurred. The Commander 
USARCS, an ACO, and a CPO are authorized to designate the legal office 
of the installation at which the member of the foreign force or civilian 
component is attached, including the legal office of another armed 
force, to carry out the responsibility to investigate. The investigation 
will comply with the responsible Service's implementing claims 
regulation. When the member is neither assigned nor attached within the 
United States, the Commander USARCS will furnish assistance.



Sec. 536.112  Settlement authority for claims arising under international 

agreements (for those claims arising in the United States).

    Settlement authority is delegated to the Commander USARCS, except 
for settlement amounts exceeding the Commander's authority as set forth 
in subparts C, D, or H of this part, or in those cases where settlement 
is reserved to a higher authority. Pursuant to the applicable SOFA, the 
Commander USARCS will report the proposed settlement to the sending 
State office for concurrence or objection. See, for example, NATO SOFA, 
Article VIII.



Sec. 536.113  Assistance to foreign forces for claims arising under 

international agreements (as to claims arising in the United States).

    As claims arising from activities of members of NATO, Partnership 
for Peace, Singaporean, or Australian forces in the United States are 
processed in the same manner as those arising from activities of U.S. 
government personnel. All JAs and legal offices will

[[Page 244]]

provide assistance similar to that provided to U.S. armed services 
personnel.



Sec. 536.114  Scope for claims arising overseas under international 

agreements.

    (a) This section sets forth guidance on claims arising from any act 
or omission of soldiers or members of the civilian component of the U.S. 
armed services done in the performance of official duty or arising from 
any other act or omission or occurrence for which the U.S. armed 
services are responsible under an international agreement. Claims 
incidents arising in countries for which the SOFA requires the receiving 
State to adjudicate and pay the claims in accordance with its laws and 
regulations are subject to partial reimbursement by the United States.
    (b) Claims by foreign inhabitants based on acts or omissions outside 
the scope of official duties are cognizable under subpart J of this 
part. Claims arising from nonscope acts or omissions by third parties 
who are not foreign inhabitants are cognizable under subpart E but not 
under subparts C or F of this part.



Sec. 536.115  Claims procedures for claims arising overseas under 

international agreements.

    (a) SOFA provisions that call for the receiving State to adjudicate 
claims have been held to be the exclusive remedy for claims against the 
United States, Aaskov v. Aldridge, 695 F. Supp. 595 (D.D.C. 1988); Dancy 
v. Department of the Army, 897 F. Supp. 612 (D.D.C. 1995).
    (b) SOFA provisions that call for the receiving State to adjudicate 
claims against the United States usually refer to claims by third 
parties brought against members of the force or civilian component. This 
includes claims by tourists or business travelers as well as inhabitants 
of foreign countries. Depending on how the receiving State interprets 
the particular SOFA's class of proper claimants, the receiving State may 
also consider claims by U.S. soldiers, civilian employees, and their 
family members. Chiefs of command claims services or other Army JA 
offices responsible for claims that arise in countries bound by SOFA or 
other treaty provisions requiring a receiving State to consider claims 
against the United States will ensure that all claims personnel know the 
receiving State's policy on which persons or classes of persons are 
proper claimants under such provisions. When a claim is filed both with 
the receiving State and under either the Military Claims Act (MCA) or 
Foreign Claims Act (FCA), the provisions of Sec. 536.76(h) of this part 
and DA Pam 27-162, paragraph 3-4a apply.
    (c) When SOFA provisions provide for receiving state claims 
consideration, the time limit for filing such claims may be much shorter 
than the two years otherwise allowed under the FCA or MCA. For example, 
receiving state claims offices in Germany require that a claim be filed 
under the SOFA within three months of the date that the claimant is 
aware of the U.S. involvement. If the filing period is about to expire 
for claims arising in Germany, have the claimant fill out a claim form, 
make two copies, and date-stamp each copy as received by the a sending 
State claims office. Return the date-stamped original of the claim to 
the claimant with instructions to promptly file with the receiving State 
claims office. Keep one date-stamped copy as a potential claim. Forward 
one date-stamped copy of the claim to the U.S. Army Claims Service 
Europe (USACSEUR). This may toll the applicable German statute of 
limitations. Additionally, many receiving state claims offices do not 
require claimants to demand a sum certain. All claims personnel must 
familiarize themselves with the applicable receiving state law and 
procedures governing SOFA claims.
    (d) All foreign inhabitants who file claims against the United 
States that fall within the receiving State's responsibility, such as 
claims based on acts or omissions within the scope of U.S. Armed Forces 
members' or civilian employees' duties, must file the claim with the 
appropriate receiving State office. Those U.S. inhabitants whose claims 
would be otherwise cognizable under the Military Claims Act (subpart C 
of this part) and whom the receiving State deems proper claimants under 
the SOFA must also file with the receiving State.

[[Page 245]]

    (e) A claim filed with, and considered by, a receiving State under a 
SOFA or other international agreement claims provision may be considered 
under other subparts of this part only if the receiving State denied the 
claim on the basis that it was not cognizable under the treaty or 
agreement provisions. See DA Pam 27-162, paragraph 3-4a(2), for 
conditions of waiver of the foregoing requirement. See also Sec. Sec. 
536.76(h) and 536.138(j) of this part. When a claimant has filed a claim 
with a receiving State and received payment, or the claim has been 
denied on the merits, such action will be the claimant's final and 
exclusive remedy and will bar any further claims against the United 
States.



Sec. 536.116  Responsibilities as to claims arising overseas under 

international agreements.

    (a) Command claims services or other responsible JA offices within 
whose jurisdiction SOFA or other treaty provisions provide for a claim 
reimbursement system, and where DA has been assigned single-service 
responsibility for the foreign country seeking reimbursement (see Sec. 
536.17) are responsible for:
    (1) Establishing programs for verifying, certifying, and reimbursing 
claims payments. Such service or JA office will provide a copy of its 
procedures implementing the program to the Commander USARCS.
    (2) Providing the Commander USARCS with budget estimates for 
reimbursements in addition to the reports required by AR 27-20, 
paragraph 13-7.
    (3) Providing the Commander USARCS each month in which payments are 
made, with statistical information on the number of individual claims 
reimbursed, the total amount paid by the foreign government, and the 
total amount reimbursed by the United States.
    (4) Providing the Commander USARCS with a quarterly report showing 
total reimbursements paid during the quarter for maneuver damage and 
tort claims classified according to major categories of damage 
determined by the Commander USARCS, and an update on major issues or 
activities that could affect the reimbursement system's operation or 
funding.
    (b) Command claims services or other responsible Army JA offices 
will ensure that all claims personnel within their areas of 
responsibility:
    (1) Receive annual training on the receiving State's claims 
procedures, including applicable time limitations, procedures and the 
responsible receiving State claims offices' locations.
    (2) Screen all new claims and inquiries about claims to identify 
those claimants who must file with the receiving State.
    (3) Ensure that all such claimants are informed of this requirement 
and the applicable time limitation.
    (4) Ensure that all applicable SOFA claims based on incidents 
occurring in circumstances that bring them within the United States' 
primary sending State jurisdiction are fully investigated.



                        Subpart H_Maritime Claims



Sec. 536.117  Statutory authority for maritime claims.

    The Army Maritime Claims Settlement Act (AMCSA) (10 U.S.C. 4801-04, 
4806, as amended) authorizes the Secretary of the Army or his designee 
to administratively settle or compromise admiralty and maritime claims 
in favor of, and against, the United States.



Sec. 536.118  Related statutes for maritime claims.

    (a) The AMCSA permits the settlement of claims that would ordinarily 
fall under the Suits in Admiralty Act (SIAA), 46 U.S.C. app. 741-752; 
the Public Vessels Act (PVA), 46 U.S.C. app. 781-790; or the Admiralty 
Extension Act (AEA), 46 U.S.C. app. 740. Outside the United States the 
AMCSA may be used to settle admiralty claims in lieu of the Military 
Claims Act or Foreign Claims Act. Within the United States, filing under 
the AMCSA is not mandatory for causes of action as it is for the SIAA or 
PVA.
    (b) Similar maritime claims settlement authority is exercised by the 
Department of the Navy under 10 U.S.C. 7363 and 7621-23 and by the 
Department

[[Page 246]]

of the Air Force under 10 U.S.C. 9801-9804 and 9806.



Sec. 536.119  Scope for maritime claims.

    The AMCSA applies worldwide and includes claims that arise on high 
seas or within the territorial waters of a foreign country. At 10 U.S.C. 
4802 it provides for the settlement or compromise of claims for:
    (a) Damage caused by a vessel of, or in the service of, the 
Department of the Army (DA) or by other property under the jurisdiction 
of the DA.
    (b) Compensation for towage and salvage service, including contract 
salvage, rendered to a vessel of, or in the service of, the DA or other 
property under the jurisdiction of the DA.
    (c) Damage that is maritime in nature and caused by tortious conduct 
of U.S. military personnel or federal civilian employees, an agent 
thereof, or property under the Army's jurisdiction.



Sec. 536.120  Claims payable as maritime claims.

    A claim is cognizable under this subpart if it arises in or on a 
maritime location, involves some traditional maritime nexus or activity, 
and is caused by the wrongful act or omission of a member of the U.S. 
Army, Department of Defense (DOD) or DA civilian employee, or an agent 
thereof, while acting within the scope of employment. This class of 
claims includes, but is not limited to:
    (a) Damage to a ship, boat, barge, or other watercraft;
    (b) An injury that involves a ship, boat, barge, or other 
watercraft;
    (c) Damage to a wharf, pier, jetty, fishing net, farm facilities or 
other structures in, on, or adjacent to any body of water;
    (d) Damage or injury on land or on water arising under the AEA and 
allegedly due to operation of an Army-owned or leased ship, boat, barge, 
or other watercraft;
    (e) An injury that occurs on board an Army ship, boat, barge or 
other watercraft; and
    (f) Crash into water of an Army aircraft.



Sec. 536.121  Claims not payable as maritime claims.

    Under this subpart, claims are not payable if they:
    (a) Are listed in Sec. Sec. 536.42, 536.43, 536.44, 536.45 (except 
at (e) and (k)), and 536.46;
    (b) Are not maritime in nature;
    (c) Are not in the best interests of the United States, are contrary 
to public policy, or are otherwise contrary to the basic intent of the 
governing statute, for example, claims for property loss or damage or 
personal injury or death by inhabitants of unfriendly foreign countries 
or by individuals considered to be unfriendly to the United States. When 
a claim is considered not payable for the reasons stated in this 
section, it will be forwarded for appropriate action to the Commander 
USARCS, along with the recommendations of the responsible claims office.
    (d) Are presented by a national, or a corporation controlled by a 
national, of a country at war or engaged in armed conflict with the 
United States, or any country allied with such enemy country, unless the 
appropriate settlement authority determines that the claimant is and, at 
the time of incident, was friendly to the United States. A prisoner of 
war or an interned enemy alien is not excluded or barred from bringing a 
claim for damage, loss, or destruction of personal property while held 
in the custody of the government if the claim is otherwise payable.
    (e) Are for damages or injuries that a receiving State should pay 
for under an international agreement. See Sec. 536.34(c).



Sec. 536.122  Limitation of settlement of maritime claims.

    (a) Within the United States the period of completing an 
administrative settlement under the AMCSA is subject to the same time 
limitation as that for beginning suit under the SIAA or PVA; that is, a 
two-year period from the date the cause of the action accrued. The 
claimant must have agreed to accept the settlement and it must be 
approved for payment by the Secretary of the Army or other approval 
authority prior to the end of such period. The presentation of a claim, 
or its consideration by the DA, neither waives nor extends the two-year 
limitation period and the

[[Page 247]]

claimant should be so informed, in writing, when the claim is 
acknowledged. See Sec. 536.28.
    (b) For causes of action under the AEA, filing an administrative 
claim is mandatory. However, suit is required under the two-year time 
limit applicable to the SIAA and PVA, even though the AEA provides that 
no suit shall be filed under six months after filing a claim.
    (c) For causes of action arising outside the United States, there is 
no time limitation for completing an administrative settlement.



Sec. 536.123  Limitation of liability for maritime claims.

    For admiralty claims arising within the United States under the 
provisions of the Limitation of Shipowners' Liability Act, 46 U.S.C. 
app. 181-188, in cases alleging injury or loss due to negligent 
operation of its vessel, the United States may limit its liability to 
the value of its vessel after the incident from which the claim arose. 
The act requires filing of an action in federal District Court within 
six months of receiving written notice of a claim. Therefore, USARCS, or 
the Chief Counsel, U.S. Army Corps of Engineers (COE), or his designee, 
must be notified within 10 working days of the receipt of any maritime 
claim arising in the United States or on the high seas out of the 
operation of an Army vessel, including pleasure craft owned by the 
United States. USARCS or Chief Counsel, COE will coordinate with the 
Department of Justice (DOJ) as to whether to file a limitation of 
liability action.



Sec. 536.124  Settlement authority for maritime claims.

    (a) The Secretary of the Army, the Army General Counsel as designee 
of the Secretary, or other designee of the Secretary may approve any 
settlement or compromise of a claim in any amount. A claim settled or 
compromised in a net amount exceeding $500,000 will be investigated and 
processed and, if approved by the Secretary of the Army or his or her 
designee, will be certified to Congress for final approval.
    (b) The Judge Advocate General (TJAG), The Assistant Judge Advocate 
General (TAJAG), the Commander USARCS, the Chief Counsel COE, or 
Division or District Counsel Offices are delegated authority to settle, 
such as to deny or approve payment in full or in part, any claim under 
this subpart regardless of the amount claimed, provided that any award 
does not exceed $100,000.
    (c) A Staff Judge Advocate (SJA) or chief of a command claims 
service and heads of area claims offices (ACOs) are delegated authority 
to pay up to $50,000, regardless of the amount claimed, and to 
disapprove or make a final offer on a claim presented in an amount not 
exceeding $50,000.
    (d) Authority to further delegate payment authority is set forth in 
Sec. 536.3(g)(1) of this part. For further discussion also related to 
settlement and approval authority see paragraph 2-69 of DA Pam 27-162.
    (e) Where the claimed amount or potential claim damage exceeds 
$100,000 for COE claims or $50,000 for all others, Commander USARCS will 
be notified immediately, and be furnished a copy of the claim and a 
mirror file thereafter. See Sec. 536.30 and AR 27-20, paragraph 2-12.



Subpart I_Claims Cognizable Under Article 139, Uniform Code of Military 
                                 Justice



Sec. 536.125  Statutory authority for Uniform Code of Military Justice (UCMJ) 

Claims.

    The authority for this subpart is Article 139, Uniform Code of 
Military Justice (UCMJ) (10 U.S.C. 939, which provides redress for 
property willfully damaged or destroyed, or wrongfully taken, by members 
of the Armed Forces of the United States.



Sec. 536.126  Purpose of UCMJ claims.

    This subpart sets forth the standards to apply and the procedures to 
follow in processing claims for the wrongful taking or willful damage or 
destruction of property by military members of the Department of the 
Army.

[[Page 248]]



Sec. 536.127  Proper claimants; unknown accused--under the UCMJ.

    (a) A proper claimant under this subpart includes any individual 
(whether civilian or military), a business, charity, or state or local 
government that owns, has an ownership interest in, or lawfully 
possesses property.
    (b) When cognizable claims are presented against a unit because the 
individual offenders cannot be identified, this subpart sets forth the 
procedures for approval authorities to direct pay assessments, 
equivalent to the amount of damages sustained, against the unit members 
who were present at the scene and to allocate individual liability in 
such proportion as is just under the circumstances.



Sec. 536.128  Effect of disciplinary action, voluntary restitution, or 

contributory negligence for claims under the UCMJ.

    (a) Disciplinary action. Administrative action under Article 139, 
UCMJ, and this subpart is entirely separate and distinct from 
disciplinary action taken under other sections of the UCMJ or other 
administrative actions. Because action under both Article 139, UCMJ, and 
this subpart requires independent findings on issues other than guilt or 
innocence, a soldier's conviction or acquittal of claim-related charges 
is not dispositive of liability under Article 139, UCMJ.
    (b) Voluntary restitution. The approval authority may terminate 
Article 139 proceedings without findings if the soldier voluntarily 
makes full restitution to the claimant.
    (c) Contributory negligence. A claim otherwise cognizable and 
meritorious is payable whether or not the claimant was negligent.



Sec. 536.129  Claims cognizable as UCMJ claims.

    Claims cognizable under Article 139, UCMJ, are limited to the 
following:
    (a) Requirement that conduct constructively violate UCMJ. In order 
to subject a person to liability under Article 139, the soldier's 
conduct must be such as would constitute a violation of one or more 
punitive Articles of the UCMJ. However, a referral of charges is not a 
prerequisite to action under this subpart.
    (b) Claims for property willfully damaged. Willful damage is damage 
inflicted intentionally, knowingly, and purposefully without justifiable 
excuse, as distinguished from damage caused inadvertently, thoughtlessly 
or negligently. Damage, loss, or destruction of property caused by 
riotous, violent, or disorderly acts or acts of depredation, or through 
conduct showing reckless or wanton disregard of the property rights of 
others, may be considered willful damage.
    (c) Claims for property wrongfully taken. A wrongful taking is any 
unauthorized taking or withholding of property, with the intent to 
deprive, temporarily or permanently, 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. However, mere breach 
of a fiduciary or contractual duty that does not involve larceny, 
forgery, embezzlement, fraud, or misappropriation does not constitute 
wrongful taking.
    (d) Definition of property. Article 139 provides compensation for 
loss of or damage to both personal property, whether tangible or 
intangible, and real property. Contrast this to the Personnel Claims Act 
and chapter 11 of AR 27-20, which provides compensation only for 
tangible personal property. Monetary losses may fall into the category 
of either tangible property (for example, cash), or intangible property 
(for example, an obligation incurred by a claimant to a third party as a 
result of fraudulent conduct by a soldier), although recovery for losses 
of intangible property may be limited by other provisions of this part, 
such as the exclusion of theft of services (see Sec. 536.130(f)) or 
consequential damages (see Sec. 536.130(g)).
    (e) Claims cognizable under more than one statute. Claims cognizable 
under other claims statutes may be processed under this subpart.

[[Page 249]]



Sec. 536.130  Claims not cognizable as UCMJ claims.

    Claims not cognizable under Article 139, UCMJ, and this subpart, 
include the following:
    (a) Claims resulting from negligent acts.
    (b) Claims for personal injury or death.
    (c) Claims resulting from acts or omissions of military personnel 
acting within the scope of their employment, including claims resulting 
from combat activities or noncombat activities, as those terms are 
defined in the Glossary of AR 27-20.
    (d) Claims resulting from the conduct of Reserve component personnel 
who are not subject to the UCMJ at the time of the offense.
    (e) Subrogated claims.
    (f) Claims for theft of services, even if such theft constitutes a 
violation of Article 134 of the UCMJ.
    (g) Claims for indirect, remote, or consequential damages.
    (h) Claims by entities in conflict with the United States or whose 
interests are hostile to the United States.



Sec. 536.131  Limitations on assessments arising from UCMJ claims.

    (a) Limitations on amount. (1) A special court-martial convening 
authority (SPCMCA) has authority to approve a pay assessment in an 
amount not to exceed $5,000 per claimant per incident and to deny a 
claim in any amount. If the Judge Advocate responsible for advising the 
SPCMCA decides that the SPCMCA's final action under the provisions of 
Rule for Courts-Martial 1107 in a court-martial arising out of the same 
incident would be compromised, the SPCMCA may forward the Article 139 
claim to the general court-martial convening authority (GCMCA) for 
action.
    (2) A GCMCA, or designee, has authority to approve a pay assessment 
in an amount not to exceed $10,000 per claimant per incident and to deny 
a claim in any amount.
    (i) If the GCMCA or designee determines that a claim exceeding 
$10,000 per claimant per incident is meritorious, that officer will 
assess the soldier's pay in the amount of $10,000 and forward the claim 
to the Commander USARCS, with a recommendation to increase the 
assessment.
    (ii) If the head of the area claims office (ACO) (usually the 
GCMCA's Staff Judge Advocate (SJA)) decides that the GCMCA's final 
action under the provisions of Rule for Courts-Martial 1107 in a court-
martial arising out of the same incident would be compromised, that 
officer may forward the Article 139 claim to USARCS for action.
    (3) Only TJAG, TAJAG, the Commander USARCS, or designee has 
authority to approve assessments in excess of $10,000 per claimant per 
incident.
    (b) Limitations on type of damages. Property loss or damage 
assessments are limited to direct damages. This subpart does not provide 
redress for indirect, remote, or consequential damages.



Sec. 536.132  Procedure for processing UCMJ claims.

    (a) Time limitations on submission of a claim. A claim must be 
submitted within 90 days of the incident that gave rise to it, unless 
the SPCMCA acting on the claim determines there is good cause for delay. 
Lack of knowledge of the existence of Article 139, or lack of knowledge 
of the identity of the offender, are examples of good cause for delay.
    (b) Form and presentment of a claim. The claimant or authorized 
agent may present a claim orally or in writing. If presented orally, the 
claim must be reduced to writing, signed, and seek a definite sum in 
U.S. dollars within 10 days after oral presentment.
    (c) Action upon receipt of a claim. Any officer receiving a claim 
will forward it within two working days to the SPCMCA exercising 
jurisdiction over the soldier or soldiers against whom the claim is 
made. If the claim is made against soldiers under the jurisdiction of 
two or more convening SPCMCAs who are under the same GCMCA, forward the 
claim to that GCMCA. That GCMCA 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 GCMCA, forward the claim to 
the SPCMCA whose headquarters is located

[[Page 250]]

nearest the situs of the alleged incident. That SPCMCA will investigate 
and act on the claim as to all soldiers involved. If a claim is brought 
against a member of one of the other military services, forward the 
claim to the commander of the nearest major command of that service 
equivalent to a major Army command (MACOM).
    (d) Action by the special court-martial convening authority. (1) If 
the claim appears to be cognizable, the SPCMCA will appoint an 
investigating officer within four working days of receipt of a claim. 
The investigating officer will follow the procedures of this subpart 
supplemented by DA Pam 27-162, chapter 9, and AR 15-6, chapter 4, which 
applies to informal investigations. The SPCMCA may appoint the claims 
officer of a command (if the claims officer is a commissioned officer) 
as the investigating officer. In cases where the special court-martial 
convening authority is an inactive duty soldier of the United States 
Army Reserve, the appointment of an investigating officer will be made 
within 30 calendar days.
    (2) If the claim is not brought against a person who is a member of 
the Armed Forces of the United States at the time the claim is received, 
or if the claim does not appear otherwise cognizable under Article 139, 
UCMJ, the SPCMCA may refer it for legal review (see paragraph (g) of 
this section) within four working days of receipt. If after legal review 
the SPCMCA determines that the claim is not cognizable, final action may 
be taken disapproving the claim (see paragraph (h) of this section) 
without appointing an investigating officer. In claims where the special 
court-martial convening authority is an inactive duty soldier of the 
United State Army Reserve, the request for a legal review will be made 
within 30 calendar days.
    (e) Expediting payment through Personnel Claims Act and Foreign 
Claims Act procedures. When assessment action on a particular claim will 
be unduly delayed, the claims office supporting the SPCMA may consider 
the claim under the Personnel Claims Act, 31 U.S.C. 3721, and chapter 11 
of AR 27-20, or under the Foreign Claims Act, 10 U.S.C. 2734, and 
subpart J of this part, as long as it is otherwise cognizable under that 
authority. If the Article 139 claim is later successful, the claims 
office will inform the claimant of the obligation to repay to the 
government any overpayment received under these statutes.
    (f) Action by the investigating officer. The investigating officer 
will notify the soldier against whom the claim is made.
    (1) If the soldier wishes to make voluntary restitution, the 
investigating officer may, with the SPCMCA's concurrence, delay 
proceedings until the end of the next pay period to permit restitution. 
If the soldier makes payment to the claimant's full satisfaction, the 
SPCMCA will dismiss the claim.
    (2) In the absence of full restitution, the investigating officer 
will determine whether the claim is cognizable and meritorious under the 
provisions of Article 139, UCMJ, and this subpart, and the amount to be 
assessed against each offender. This amount will be reduced by any 
restitution the claimant accepts from an offender in partial 
satisfaction. Within 10 working days, or such time as the SPCMCA may 
determine, the IO will submit written findings and recommendations to 
the SPCMCA.
    (3) If the soldier is absent without leave and cannot be notified, a 
claims office may process the Article 139 claim in the soldier's 
absence. If an assessment is approved, forward a copy of the claim and 
the memorandum authorizing pay assessment by transmittal letter to the 
servicing Defense Accounting Office (DAO) for offset against the 
soldier's pay. If the soldier is dropped from the rolls, the servicing 
DAO will forward the assessment documents to: Commander, Defense Finance 
and Accounting Service (DFAS), ATTN: Military Pay Operations, 8899 E. 
56th Street, Indianapolis, IN 46249.
    (g) Legal review. The SPCMCA will refer the claim for legal review 
to its servicing legal office upon either completion of the 
investigating officer's report or the SPCMCA's determination that the 
claim is not cognizable (see paragraph (d)(2) of this section).
    (1) Within five working days or such time as the SPCMCA determines, 
that

[[Page 251]]

office will furnish a written opinion as to:
    (i) Whether the claim is cognizable under the provisions of Article 
139, UCMJ, and this subpart.
    (ii) Whether the findings and recommendations are supported by a 
preponderance of the evidence.
    (iii) Whether the investigation substantially complies with the 
procedural requirements of Article 139, UCMJ; this subpart; DA Pam 27-
162, chapter 9; and AR 15-6, chapter 4.
    (iv) Whether the claim is clearly not cognizable (see paragraph 
(d)(2) of this section) and final denial action can be taken without 
appointing an investigating officer.
    (2) If the investigating officer's recommended assessment does not 
exceed $5,000, the claims judge advocate (CJA) or claims attorney will, 
upon legal review, forward the claim to the SPCMCA for final action.
    (3) If the investigating officer's recommended assessment is more 
than $5,000, the CJA or claims attorney will, upon legal review, forward 
the claim file to the head of the ACO, who will also conduct a legal 
review within five working days.
    (i) If the recommended assessment does not exceed $10,000, the head 
of the ACO will forward the claim file to the GCMCA for final action.
    (ii) If the recommended assessment exceeds $10,000, the head of the 
ACO will forward the claim file to the GCMCA for approval of an 
assessment up to $10,000 and for a recommendation of an additional 
assessment. The head of the ACO will then forward the claims file and 
the GCMCA's recommendation to the Commander USARCS for approval.
    (h) Final action. After consulting with the legal advisor, the 
approval authority will disapprove or approve the claim in an amount 
equal to, or less than, the amount of the assessment limitation. The 
approval authority is not bound by the findings or recommendations of 
the IO; AR 15-6, paragraph 2-3a. The approval authority will notify the 
claimant, and any soldier subject to that officer's jurisdiction, of the 
determination and the right of any party to request reconsideration (see 
Sec. 536.133). A copy of the investigating officer's findings and 
recommendation will be enclosed with the notice. The approval authority 
will then suspend action on the claim for 10 working days pending 
receipt of a request for reconsideration, unless the approval authority 
determines that this delay will result in substantial injustice. If 
after this period the approval authority determines that an assessment 
is still warranted, the approval authority will direct the appropriate 
DAO to withhold such amount from the soldier's pay account (see Sec. 
536.131(a)). For any soldier not subject to the approval authority's 
jurisdiction, the approval authority will forward the claim to the 
commander who exercises SPCMCA jurisdiction over the soldier for 
assessment. The receiving SPCMCA is bound by the determination of the 
approval authority.
    (i) Assessment. Subject to any limitations set forth in appropriate 
regulations, the servicing DAO will withhold the amount directed by the 
approval authority and pay it to the claimant. The assessment is not 
subject to appeal and is binding on any finance officer. If the 
servicing DAO cannot withhold the required amount because it does not 
have custody of the soldier's pay record, the record is missing, or the 
soldier is in a no pay due status, that office will promptly notify the 
approval authority of this fact in writing.
    (j) Remission of indebtedness. 10 U.S.C. 4837, 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, UCMJ.



Sec. 536.133  Reconsideration of UCMJ claims.

    (a) General. Although Article 139, UCMJ, does not provide for a 
right of appeal, either the claimant or a soldier whose pay is assessed 
may request the approval authority (SPCMCA or GCMCA, depending on the 
amount assessed) or successor in command to reconsider the action. 
Either party must submit such a request for reconsideration in writing 
and clearly state the factual or legal basis for the relief requested. 
The approval authority may

[[Page 252]]

direct that the matter be reinvestigated.
    (b) Reconsideration by the original approval authority. The original 
approval authority may reconsider the action at any time while serving 
as the approval authority for the claim in question, even after the 
transfer of the soldier whose pay was assessed. The original approval 
authority may modify the action if it was incorrect, subject to 
paragraph (d) of this section. However, the approval authority should 
modify the action only because of fraud, substantial new evidence, 
errors in calculation, or mistake of law.
    (c) Reconsideration by a successor in command. Subject to paragraph 
(d) of this section, a successor in command may modify an action only 
because of fraud, substantial new evidence, errors in calculation, or 
mistake of law apparent on the face of the record.
    (d) Legal review and action. Prior to modifying the original action, 
the approval authority will have the servicing claims office render a 
legal opinion and fully explain the basis for modification as part of 
the file. If the legal review agrees that a return of the assessed pay 
is appropriate, the approval authority should request in writing that 
the claimant return the money, setting forth in the letter the basis for 
the request. There is no authority for repayment from appropriated 
funds.
    (e) Disposition of files. After completing action on 
reconsideration, the approval authority will forward the reconsideration 
action to the servicing claims office, which will then file the action 
per Sec. 536.132(h).



Sec. 536.134  Additional claims judge advocate and claims attorney 

responsibilities (for UCMJ claims).

    In addition to the duties set forth in this subpart, the CJA or 
claims attorney is responsible for forwarding copies of completed 
Article 139 actions to USARCS, maintaining a log, monitoring the time 
requirements of pending Article 139 actions, and publicizing the Article 
139 program to commanders, soldiers, and the community.



        Subpart J_Claims Cognizable Under the Foreign Claims Act



Sec. 536.135  Statutory authority for the Foreign Claims Act.

    (a) The statutory authority for this subpart is the Act of August 
10, 1956, 10 U.S.C. 2734 (70 Stat. 154), commonly referred to as the 
Foreign Claims Act (FCA), as amended by Public Law 86-223, September 
1959 (73 Stat. 453); Public Law 86-411, April 1960 (74 Stat. 16); Public 
Law 90-521, September 1968 (82 Stat. 874); Public Law 91-312, July 1970 
(84 Stat. 412); Public Law 93-336, July 1974 (88 Stat. 292); Public Law 
96-513, Title V, Sec. 511 (95), December 1980 (94 Stat. 2928). It is 
posted on the USARCS Web site; for the address see Sec. 536.2(a).
    (b) Claims arising from the acts or omissions of the U.S. Armed 
Forces in the Marshall Islands or the Federated States of Micronesia are 
settled in accordance with Art. XV, Non-contractual Claims, of the U.S.-
Marshall Islands and Micronesian Status of Forces Agreement (the 
``SOFA'') (posted on the USARCS Web site; for the address see Sec. 
536.2(a)). This is pursuant to the ``agreed upon minutes'' that are 
appended to the SOFA, pursuant to Section 323 of the Compact of Free 
Association between the U.S. and the Marshall Islands and the Federated 
States of Micronesia, enacted by Public Law 99-239, January 14, 1986. 
(The Compact may be viewed at http://www.fm/jcn/compact/relindex.html). 
The ``agreed upon minutes'' state that ``all claims within the scope of 
paragraph 1 of Article XV [Claims], [of the Compact] * * * shall be 
processed and settled exclusively pursuant to the Foreign Claims Act, 10 
U.S.C. 2734, and any regulations promulgated in implementation 
thereof.'' Therefore, Title I, Article 178 of the Compact, regarding 
claims processing, is not applicable to claims arising from the acts or 
omissions of the U.S. armed forces, but only to other federal agencies. 
Those agencies are required to follow the provisions of the Federal Tort 
Claims Act, 28 U.S.C. 2672.



Sec. 536.136  Scope for claims arising under the Foreign Claims Act.

    (a) Application. This subpart, which is applicable outside the 
United States, its commonwealths, territories and

[[Page 253]]

possessions, including areas under the jurisdiction of the United 
States, implements the FCA and prescribes the substantive basis and 
special procedural requirements for settlement of claims of inhabitants 
of a foreign country, or of a foreign country or a political subdivision 
thereof, against the United States for personal injury, death, or 
property damage caused by service members or civilian employees, or 
claims that arise incident to noncombat activities of the armed forces.
    (b) Effect of Military Claims Act (MCA). Claims arising in foreign 
countries will be settled under the MCA if the injured party is an 
inhabitant of the U.S., for example, a member of the U.S. armed forces, 
a U.S. civilian employee, or a family member of either category. In a 
wrongful death case, if the decedent is an inhabitant of a foreign 
country, even though his survivors are U.S. inhabitants, the FCA will 
apply. See Sec. 536.74(c). For claims arising outside the U.S. 
involving foreign-born spouces, see DA Pam 27-20, paragraph 2-20a.
    (c) Effect of Army Maritime Claims Settlement Act (AMCSA) (10 U.S.C. 
4801, 4802 and 4808). A maritime claim may be settled under the FCA.



Sec. 536.137  Claims payable under the Foreign Claims Act.

    (a) A claim for death, personal injury, or loss of or damage to 
property may be allowed under this subpart if the alleged damage results 
from noncombat activity or a negligent or wrongful act or omission of 
soldiers or civilian employees of the U.S. armed forces, as enumerated 
in Sec. 536.23(b), regardless of whether the act or omission was made 
within the scope of their employment. This includes non-U.S. citizen 
employees recruited elsewhere but employed in a country of which they 
are not a citizen. However, a claim generated by non-U.S. citizen 
employees in the country in which they were recruited and are employed 
will be payable only if the act or omission was made in the scope of 
employment. But claims arising from the operation of U.S. armed forces 
vehicles or other equipment by such employees may be paid, even though 
the employees are not acting within the scope of their employment, 
provided the employer or owner of the vehicle or other equipment would 
be liable under local law in the circumstances involved.
    (b) Claims generated by officers or civilian employees of the 
American Battle Monuments Commission (36 U.S.C. 2110), acting within the 
scope of employment, will be paid from American Battle Monuments 
Commission appropriations.
    (c) Claims for the loss of, or damage to, property that may be 
settled under this subpart include the following:
    (1) Real property used and occupied under lease, express, implied, 
or otherwise. See Sec. 536.34(m) of this part and paragraph 2-15m of DA 
Pam 27-162.
    (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.



Sec. 536.138  Claims not payable under the Foreign Claims Act.

    A claim is not payable if it:
    (a) Results wholly from the negligent or wrongful act of the 
claimant or agent;
    (b) Is purely contractual in nature;
    (c) Arises from private or domestic obligations as distinguished 
from government transactions;
    (d) Is based solely on compassionate grounds;
    (e) Is a bastardy claim for child support expenses;
    (f) Is for any item whose acquisition, possession, or transportation 
is in violation of Department of the Army (DA) or Department of Defense 
(DOD) directives, such as illegal war trophies.
    (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. See Sec. 536.34(m) of this part 
and paragraph 2-15m of DA Pam 27-162.
    (h) Is not in the best interest of the United States, is contrary to 
public policy, or otherwise contrary to the basic intent of the 
governing statute (10 U.S.C. Sec. 2734); for example, claims for 
property loss or damage, or personal injury or death caused by 
inhabitants of unfriendly foreign countries or by individuals considered 
to be unfriendly to the United States.

[[Page 254]]

    (i) Is presented by a national, or a corporation controlled by a 
national, of a country at war or engaged in armed conflict with the 
United States, or any country allied with such enemy country unless the 
appropriate settlement authority determines that the claimant is, and at 
the time of the incident was friendly to the United States. A prisoner 
of war or an interned enemy alien is not excluded from filing a claim 
for damage, loss, or destruction of personal property within the federal 
government's custody if the claim is otherwise payable.
    (j) Is for damages or injury, the claim for which a receiving State 
should adjudicate and pay pursuant to an international agreement, 
subject to waiver by the Commander USARCS. See DA Pam 27-162, paragraph 
3-4a(2), for a discussion of the conditions of waiver.
    (k) Is listed in Sec. Sec. 536.45 and 536.46, except for the 
exclusions listed in Sec. Sec. 536.45(e), (h) and (k). Additionally, 
the exclusions set forth in Sec. Sec. 536.45(a) and (b) do not apply to 
a claim arising incident to noncombat activities.
    (l) Is brought by a subrogee.
    (m) Is covered by insurance on the involved U.S. Armed Forces' 
vehicle or the tortfeasor's privately owned vehicle (POV), in accordance 
with requirements of a foreign country, unless the claim exceeds the 
coverage or the insurer is insolvent. See Sec. 536.139(c).
    (n) Is payable under subpart C of this part or AR 27-20, chapter 11.
    (o) Is brought by or on behalf of a member of a foreign military 
force for personal injury or death arising incident to service, or 
pursuant to combined military operations. Combined military operations 
include exercises and United Nations and North Atlantic Treaty 
Association (NATO) peacekeeping and humanitarian missions. Derivative 
claims arising from these incidents are also excluded.



Sec. 536.139  Applicable law for claims under the Foreign Claims Act.

    (a) Venue of incident and domicile of claimant. In determining an 
appropriate award, apply the law and custom of the country in which the 
incident occurred to determine which elements of damages are payable and 
which individuals are entitled to compensation. However, where the 
claimant is an inhabitant of another foreign country and only 
temporarily within the country in which the incident occurred, the 
quantum of certain elements of damages, such as lost wages and future 
medical care, may be calculated based on the law and economic conditions 
in the country of the claimant's permanent residence. Where the decedent 
is the subject of a wrongful death case, the quantum will be determined 
based on the country of the decedent's permanent residence regardless of 
the fact that his survivors live in the U.S. or a different foreign 
country than the decedent. See Sec. 536.77 for further damages 
guidance.
    (b) Other guidance. The guidance set forth in Sec. Sec. 536.77(b) 
through (d) as to allowable elements of damages is generally applicable. 
Where moral damages, as defined in DA Pam 27-162, paragraph 2-53c(4), 
are permitted, such damages are payable. In some countries it is 
customary to get a professional appraisal to substantiate certain claims 
and pass this cost on to the tortfeasor. The Commander USARCS or the 
chief of a command claims service may, as an exception to policy, permit 
the reimbursement of such costs in appropriate cases. Where feasible, 
claimants should be discouraged from incurring such costs.
    (c) Deductions for insurance. (1) Insurance coverage recovered or 
recoverable will be deducted from any award. In that regard, every 
effort will be made to monitor the insurance aspect of the case and 
encourage direct settlement between the claimant and the insurer of the 
tortfeasor.
    (2) When efforts under paragraph (c)(1) of this section are of no 
avail, or when it otherwise is determined that an insurance settlement 
will not be reasonably available for application to the award, no award 
will be made until the chief of the command claims service or the 
Commander USARCS, has first granted consent. In such cases, an 
assignment of the insured's rights against the insurer will be obtained 
and, in appropriate cases, reimbursement action will be instituted 
against the insurer under applicable procedures.

[[Page 255]]

    (3) If an insurance settlement is not available due to the insurer's 
insolvency or bankruptcy, a report on the bankruptcy will be forwarded 
to the Commander USARCS without delay, setting forth all pertinent 
information, including the alleged reasons for the bankruptcy and the 
facts concerning the licensing of the insurer.
    (d) Deductions for amounts paid by tortfeasor. Settlement 
authorities will deduct from the damages any direct payments by a member 
or civilian employee of the U.S. armed forces for damages (other than 
solatia).



Sec. 536.140  Appointment and functions of Foreign Claims Commissions.

    (a) Claims cognizable under this subpart will be referred to the 
command responsible for claims arising within its geographic area of 
responsibility, including claims transferred by agreement between the 
services involved. The senior judge advocate of a command having a 
command claims service, or his delegee, will appoint a sufficient number 
of Foreign Claims Commissions (FCCs) to dispose of the claims. If there 
is no command claims service, the responsible commander may ask the 
Commander USARCS for permission to establish one. Otherwise, the 
Commander USARCS will appoint a sufficient number of FCCs from personnel 
furnished by the command involved. See Sec. 576.3(d) for more 
information about command claims services.
    (b) The Commander USARCS will appoint all other FCCs to act on all 
other claims, regardless of where such claims arose, unless they arose 
in a country for which single-service responsibility has been assigned 
to another service. FCCs appointed by the Commander USARCS at units 
based in the continental United States (CONUS) may act on any claim 
arising out of such unit's operations. Any FCC operating in, or 
adjudicating claims arising out of, a geographical area within a command 
claims service's jurisdiction, will comply with that service's legal and 
procedural rules.
    (c) An FCC may operate as an integral part of a command claims 
service, which will determine the cases to be assigned to it, furnish 
necessary administrative services, and establish and maintain its 
records. Where an FCC does not operate as part of a command claims 
service, it may operate as part of the office or a division, corps or 
higher command staff judge advocate (SJA), which will perform the 
foregoing functions.
    (d) An appointing authority who appoints or relieves an FCC whom he 
or she has appointed will forward one copy of each order addressing an 
FCC's appointment, relief, or change of responsibility to the Commander 
USARCS. Upon receipt of an initial appointing order, the Commander 
USARCS will assign an office code number to the FCC. Without such a 
number the FCC has no authority to approve or pay claims. See AR 27-20, 
paragraph 13-1.
    (e) Normally, the FCC is responsible for the investigation of all 
claims referred to it, using both the procedures set forth in subpart B 
of this part and any local procedures established by the appointing 
authority or command claims service responsible for the geographical 
area in which the claim arose. Chiefs of a command claims service may 
request assistance on claims investigation within their geographical 
areas from units or organizations other than the FCC. The Commander 
USARCS may make the same request for any claim referred to an FCC 
appointed under his or her authority.
    (f) When an FCC intends to deny a claim, or offer an award less than 
the amount claimed, it will notify in writing the claimant, the 
claimant's authorized agent, or legal representative of the intended 
action on the claim and the legal and factual bases for that action. If 
the FCC proposes a partial award, a settlement agreement should be 
enclosed with the notice. Claimants will be advised that they may either 
accept the FCC action by returning the signed settlement agreement or, 
if dissatisfied with the FCC's action, they may submit a request for 
reconsideration stating the factual or legal reasons why they believe 
the FCC's proposed action is incorrect. This notice serves to give the 
claimant an opportunity to request reconsideration of the FCC action and 
state the reasons for the request before final action is

[[Page 256]]

taken on the claim. When the FCC intends to award the amount claimed, or 
recommend an award equal to the amount claimed to a higher authority, 
this procedure is not necessary. However, a settlement agreement is 
required for all awards, full or partial. See Sec. 536.63(a).
    (1) This notice should be given at least 30 days before the FCC 
takes final action, except on small claims processed pursuant to Sec. 
536.33. The notice should be mailed via certified or registered mail to 
the claimant. The claimant should be informed that any request for 
reconsideration should be addressed to the FCC that took final action, 
and that all materials the claimant wishes the FCC to consider should be 
included with the request for reconsideration.
    (2) An FCC may alter its initial decision based on the claimant's 
response or proceed with the intended action. If the claimant's response 
raises a general policy issue, the FCC may request an advisory opinion 
from the Commander USARCS or the chief of the command claims service 
while retaining the claim for final action at its level.
    (3) Upon completing of its evaluation of the claimant's response, 
the FCC will notify the claimant of its final decision and advise the 
claimant that its action is final and conclusive as a matter of law (10 
U.S.C. 2735), unless the final decision is a recommendation for payment 
above its authority. In that case, the FCC will forward any response 
submitted by the claimant along with its claims memorandum of opinion to 
the approval authority, and will notify the claimant accordingly.
    (4) When an FCC determines that a claim is valued at more than 
$50,000 or all claims arising out of a single incident are valued at 
more than $100,000, the file will be transferred to the Commander USARCS 
for further action; see Sec. 536.143(d)(2). Upon request of the 
Commander USARCS, the FCC may negotiate a settlement, the amount of 
which exceeds the FCC's authority; however, prior approval by a higher 
authority is required.
    (5) Every reasonable effort should be made to negotiate a mutually 
agreeable settlement on meritorious claims. When an agreement can be 
reached, the notice and response provisions above are not necessary. If 
the FCC recommends an award in excess of its monetary authority, the 
settlement agreement should indicate that its recommendation is 
contingent upon approval by higher authority.
    (g) The chief of an overseas command claims service may delegate to 
a one-member FCC the responsibility for the receipt, processing, and 
investigation of any claim, regardless of amount, except those required 
to be referred to a receiving State office for adjudication under the 
provisions of a treaty concerning the status of U.S. forces in the 
country in which the claim arose. If, after investigation, it appears 
that action by a three-member FCC is appropriate, the one-member FCC 
should send the claim to the appropriate three-member FCC with a 
complete investigation report, including a discussion of the applicable 
local law and a recommendation for disposition.



Sec. 536.141  Composition of Foreign Claims Commissions.

    (a) Normally, an FCC will be composed of either one or three 
members. Alternate members of three-member FCCs may be appointed when 
circumstances require, and may be substituted for regular members on 
specific cases by order of the appointing authority. The appointing 
orders will clearly designate the president of a three-member FCC. Two 
members of a three-member FCC will constitute a quorum, and the FCC's 
decision will be determined by majority vote.
    (b) Upon approval by the Commander USARCS and the appropriate 
authority of another uniformed service, the membership may be composed 
of one or more members of another uniformed service. If another service 
has single-service responsibility over the foreign country in which the 
claim arose, that service is responsible for the claim. If requested, 
the Commander USARCS may furnish a JAG officer or claims attorney to be 
a member of another service's FCC.

[[Page 257]]



Sec. 536.142  Qualification of members of Foreign Claims Commissions.

    Normally, a member of an FCC will be either a commissioned officer 
or a claims attorney. At least two members of a three-member FCC must be 
JAs or claims attorneys. In exigent circumstances, a qualified non-
lawyer employee of the armed forces may be appointed to an FCC, subject 
to prior approval by the Commander USARCS. Such approval may be granted 
only upon a showing of the employee's status and qualifications and 
adequate justification for such appointment (for example, lack of 
legally qualified personnel). The FCC will be limited to employees who 
are citizens of the United States. An officer, claims attorney, or 
employee of another armed force will be appointed a member of an Army 
FCC only if approved by the Commander USARCS.



Sec. 536.143  Settlement authority of Foreign Claims Commissions.

    (a) In order to determine whether the claim will be considered by a 
one-member or three-member FCC, the claimed amount will be converted to 
the U.S. dollar equivalent (based on the annual Foreign Currency 
Fluctuation Account exchange rate, where applicable). However, the FCC's 
jurisdiction to approve is determined by the conversion rate on the date 
of final action. Accordingly, if the value of the U.S. dollar has 
decreased, the FCC will forward the recommendation to a higher 
authority, if necessary.
    (b) Payment will be made in the currency of the country in which the 
incident occurred or in which the claimant resided at the time of the 
incident, unless the claimant requests payment in U.S. dollars or 
another currency and such request is approved by the chief of a command 
claims service or the Commander USARCS. However, if the claimant resides 
in another foreign country at the time of payment, payment in an amount 
equivalent to that which would have been paid under the preceding 
sentence may be made in the currency of that third country without the 
approval of the Commander USARCS.
    (c) A one-member FCC may consider and pay claims presented in any 
amount provided a mutually agreed settlement may be reached in an amount 
not exceeding the FCC's monetary authority. A one-member FCC may deny 
any claim when the claimed amount does not exceed its monetary 
authority. Unless otherwise restricted by the appointing authority, a 
one-member FCC who is a JA or claims attorney has $15,000 monetary 
authority, while any other one-member commission has $5,000 monetary 
authority.
    (d) A three-member FCC, unless otherwise restricted by the 
appointing authority, may take the following actions on a claim that is 
properly before it:
    (1) Disapprove a claim presented in any amount. After following the 
procedures in Sec. 536.140, including reconsideration, the disapproval 
is final and conclusive under 10 U.S.C. 2735. The FCC will inform the 
appointing authority of its action. After it takes final action and 
disapproves a claim presented in any amount over $50,000, the FCC will 
forward to the appointing authority the written notice to the claimant 
required by Sec. 536.140(f), any response from the claimant, and its 
notice of final action on the claim.
    (2) Approve and pay meritorious claims presented in any amount. (i) 
Claims paid in full or in part for an amount not exceeding $50,000 will 
be paid after any reconsideration as set forth in Sec. 536.140. This 
action is final and conclusive under 10 U.S.C. 2735.
    (ii) Claims valued at an amount exceeding $50,000, or multiple 
claims arising from the same incident valued at more than $100,000, will 
be forwarded through the appointing authority with a memorandum of 
opinion to the Commander USARCS for action; see DA Pam 27-162, paragraph 
2-60. The memorandum of opinion will discuss the amount for which the 
claimant will settle and include the recommendation of the FCC.
    (e) The Judge Advocate General (TJAG), The Assistant Judge Advocate 
General (TAJAG) and the Commander USARCS, or his or her designee serving 
at USARCS, may approve and pay, in whole or in part, any claim as long 
as the amount of the award does not exceed $100,000; may disapprove any 
claim, regardless of either the amount

[[Page 258]]

claimed or the recommendation of the FCC forwarding the claim; or, if a 
claim is forwarded to USARCS for approval of payment in excess of 
$50,000, refer the claim back to the FCC or another FCC for further 
action.
    (f) Payments in excess of $100,000 will be approved by the Secretary 
of the Army, the Army General Counsel as the Secretary's designee, or 
other designee of the Secretary.
    (g) Following approval where required and receipt of an agreement by 
the claimant accepting the specific sum awarded by the FCC, the claim 
will be processed for payment in the appropriate currency. The first 
$100,000 of any award will be paid from Army claims funds. The excess 
will be reported to the Financial Management Service, Department of the 
Treasury, with the documents listed in DA Pam 27-162, paragraph 2-81.
    (h) If the settlement authority upholds a final offer or authorizes 
an award on appeal from a denial of a claim, the notice of the 
settlement authority's action will inform the claimant that he or she 
must accept the award within 180 days of the date of mailing of the 
notice of the settlement authority's action or the award will be 
withdrawn, the claim will be deemed denied, and the file will be closed 
without future recourse.



Sec. 536.144  Reopening a claim after final action by a Foreign Claims 

Commission.

    (a) Original approval or settlement authority (including TAJAG, 
TJAG, Secretary of the Army, or the Secretary's designees). (1) An 
original settlement authority may reconsider the denial of, or final 
offer on a claim brought under the FCA upon request of the claimant or 
the claimants authorized agent. In the absence of such a request, the 
settlement authority may reconsider a claim on its own initiative.
    (2) An original approval or settlement authority may reopen and 
correct action on an FCA claim previously settled in whole or in part 
(even if a settlement agreement has been executed) when it appears that 
the original action was incorrect in law or fact based on the evidence 
of record at the time of the action or subsequently received. For errors 
in fact, the new evidence must not have been discoverable at the time of 
final action by either the Army or the claimant through the exercise of 
reasonable diligence. Corrective action may also be taken when an error 
contrary to the parties' mutual understanding is discovered in the 
original action. If it is determined that the original action was 
incorrect, the action will be modified, and if appropriate, a 
supplemental payment made. The basis for a change in action will be 
stated in a memorandum included in the file. For example, a claim was 
settled for $15,000, but the settlement agreement was typed to read 
``$1,500'' and the error is not discovered until the file is being 
prepared for payment. If appropriate, a corrected payment will be made. 
A settlement authority who has reason to believe that a settlement was 
obtained by fraud on the part of the claimant or the claimant's legal 
representative, will reopen action on that claim and, if the belief is 
substantiated, correct the action. The basis for correcting an action 
will be stated in a memorandum and included in the file.
    (b) A successor approval or settlement authority (including TAJAG, 
TJAG, Secretary of the Army, or the Secretary's designees)--(1) 
Reconsideration. A successor approval or settlement authority may 
reconsider the denial of, or final offer on, an FCA claim upon request 
of the claimant or the claimant's authorized agent only on the basis of 
fraud, substantial new evidence, errors in calculation, or mistake 
(misinterpretation) of law.
    (2) Settlement correction. A successor approval or settlement 
authority may reopen and correct a predecessor's action on a claim that 
was previously settled in whole or in part for the same reasons that an 
original authority may do so.
    (c) Time requirement for filing request for reconsideration. 
Requests postmarked more than five years from the date of mailing of 
final notice will be denied based on the doctrine of laches.
    (d) Finality of action. Action by the appropriate authority (either 
affirming the prior action or granting full or partial relief) is final 
under the provisions of 10 U.S.C. 2735. Action upon request for 
reconsideration constitutes final

[[Page 259]]

administrative disposition of a claim. No further requests for 
reconsideration will be allowed except on the basis of fraud.



Sec. 536.145  Solatia payment.

    Payment of solatia in accordance with local custom as an expression 
of sympathy toward a victim or his or her family is common in some 
overseas commands. Solatia payments are known to be a custom in the 
Federated States of Micronesia, Japan, Korea, and Thailand. In other 
countries, the FCC should consult the command claims service or 
Commander USARCS for guidance. Such payments are not to be made from the 
claims expenditure allowance. These payments are made from local 
operation and maintenance funds. This applies even where a command 
claims service is directed to administer the command's solatia program. 
See, for example, United States Forces Korea Regulation 526-11 regarding 
solatia amounts and procedures.



                  Subpart K_Nonappropriated Fund Claims



Sec. 536.146  Claims against nonappropriated fund employees--generally.

    This subpart sets forth the procedures to follow in the settlement 
and payment of claims generated by the acts or omissions of the 
employees of nonappropriated fund (NAF) activities. NAF activities 
include NAF or Army and Air Force Exchange Service (AAFES) facilities, 
post exchanges, bowling centers, officers and noncommissioned officers' 
clubs, and other facilities located on land or situated in a building 
used by an activity that employs personnel compensated from NAFs.



Sec. 536.147  Claims by NAFI employees for losses incident to employment.

    Claims by employees for the loss of or damage to personal property 
incident to employment will be processed in the manner prescribed by AR 
27-20, chapter 11 and will be paid from NAFs in accordance with Sec. 
536.152.



Sec. 536.148  Claims generated by the acts or omissions of NAFI employees.

    (a) Processing. Claims arising out of acts or omissions of employees 
of NAFI activities will be processed and settled in the manner specified 
for similar claims against the United States, except that payment will 
be made from NAFs in accordance with AR 215-1 (Morale, Welfare, and 
Recreation Activities and Nonappropriated Fund Instrumentalites) and 
Sec. 536.152 of this part.
    (b) Procedural requirements. Procedural requirements of this part's 
pertinent subparts, as stated below, will be followed except as provided 
in Sec. Sec. 536.151 and 536.152. However, when the Nonappropriated 
Fund Instrumentality (NAFI) is protected by a commercial insurer (for 
example, flying and parachute activities), the claim will be referred to 
the insurer as outlined in Sec. 536.148(d). See Department of Defense 
Directive (DODD) 5515.6, dated November 3, 1956, posted on the USARCS 
Web site (see Sec. 536.2(a)).
    (1) Claims arising within the United States, its territories, 
commonwealths, or possessions. Such claims will be processed in the 
manner prescribed by subparts C, D, E, F, H or J of this part, as 
appropriate.
    (2) Claims arising outside the United States, its territories, 
commonwealths, or possessions. Such claims will be processed in 
accordance with the provisions of applicable Status of Forces Agreements 
(SOFAs) or in the manner prescribed by subparts C, D, E, F, H or J of 
this part, as appropriate.
    (c) Reporting and investigation. Such claims will be investigated in 
accordance with AR 215-1 and subpart B of this part.
    (1) Reporting. Personal injury, death, or property damage resulting 
from vehicular collisions, falls, falling objects, assaults, or 
accidents of similar nature will be reported immediately to the person 
in charge of the NAFI or activity at which it occurred. The report 
should be made by the employee who initially received notice of the 
incident, even if the individual involved denies sustaining personal 
injury or property damage. Upon receipt of the report of the incident, 
the person in charge of the NAF activity concerned

[[Page 260]]

will transmit the report to the area claims office (ACO) or claims 
processing office (CPO) for investigation.
    (2) Investigation. Claims arising out of acts or omissions of 
employees of NAF activities will be investigated in the manner set forth 
in subpart B of this part. A determination as to whether the claim is 
cognizable under this section will be made as soon as practicable.
    (d) Customer complaints. AAFES-generated complaints will be handled 
in accordance with Exchange Service Manual 57-2. NAFI-generated 
complaints will be handled in accordance with AR 215-1, chapter 3. 
Complaints generated by appropriated funds laundry and dry-cleaning 
operations will be handled in accordance with AR 210-130, chapter 2. 
Complaints generated by refunds of sales proceeds will be handled in 
accordance with Exchange Operating Procedures (EOP) 57-2.
    (e) Commercial insurance. Certain NAFI activities (such as flying 
and parachute activities, and all AAFES concessionaires) may have 
private commercial insurance.
    (1) A claims investigation under subpart B of this part will not be 
conducted except when the claim's estimated value may exceed the 
insurance policy limits. In that event, the Commander USARCS, will be 
notified immediately and an investigation will be conducted with a view 
to determining whether the United States may be liable under subparts C, 
D, F, H or J of this part. Otherwise, the ACO or CPO will refer the 
claim to the insurer and furnish copies to the USARCS AAO, as required 
in AR 27-20, paragraph 2-12. Assistance will be furnished to the insurer 
as needed. Copies of any other required investigations may be furnished 
to the insurer.
    (2) The claim will be reviewed at key intervals to ensure that 
progress is being made, negotiations are properly conducted, and the 
file is closed. The Commander USARCS will be advised of any problems.
    (3) If requested by either the insurer or NAFI officials, the 
appropriate claims authority will assist in or conduct negotiations.
    (4) Where NAFI vehicles are required to be covered by insurance in 
foreign countries, the insurer will process the claim. However, if the 
policy coverage limit is exceeded or the insurer is insolvent, the claim 
may be processed under subpart G, Sec. Sec. 536.114 through 536.116 
(Claims arising overseas) or, if subpart G does not apply, under 
subparts C or J of this part. See Sec. 536.139(c) for additional 
guidance.



Sec. 536.149  Identification of persons whose actions may generate liability.

    Claims resulting from the acts or omissions of members of the 
classes of persons listed below may be processed under this section. An 
ACO or a CPO authority will ask the Commander USARCS, for an advisory 
opinion prior to settling any claim where the person whose conduct 
generated the claim does not clearly fall within one of the following 
categories:
    (a) Civilian employees of NAFI activities whose salaries are paid 
from NAFs.
    (b) Active duty military personnel while performing off-duty part-
time work for which they are compensated from NAFIs, not to include 
members who are acting in their capacity as an officer or other official 
of the NAFI.
    (c) Volunteers serving in an official capacity in furtherance of the 
business of the United States, limited to those categories set forth in 
DA Pam 27-162, paragraph 2-45d.



Sec. 536.150  Claims payable from appropriated funds.

    Claims payable from appropriated funds will be processed under the 
appropriate subpart. Appropriated fund payable claims include those 
resulting from:
    (a) Acts or omissions of military personnel while performing 
assigned military duties in connection with NAFI activities.
    (b) Acts or omissions of civilian employees paid from appropriated 
funds in connection with NAFI activities.
    (c) Negligent maintenance of an appropriated funds facility used by 
a NAFI activity but for which the Department of Defense or Department of 
the Army (DA) command concerned is responsible and has been notified of 
the deficiency by the NAF. Where liability

[[Page 261]]

is determined to exist for both a NAFI and an appropriated fund 
activity, liability will be apportioned between the two activities.
    (d) Temporary use of a NAFI facility by an appropriated fund 
activity.
    (e) Operation of government owned or rented vehicles on authorized 
missions for NAFI activities where the driver is a DA soldier or 
civilian employee and is paid from APFs.



Sec. 536.151  Settlement authority for claims generated by acts or omissions 

of NAFI employees.

    (a) Settlement. Claims cognizable under this section and processed 
under subparts C, D, E, G, H or J of this part will be settled by claims 
authorities authorized to settle claims under those subparts subject to 
the same monetary and denial authority limitations, except that The 
Judge Advocate General (TJAG), The Assistant Judge Advocate General 
(TAJAG), and the Commander USARCS may settle such claims without regard 
to monetary limitations. However, the approval of the Attorney General 
or Assistant General Counsel may be required for an apportioned amount 
to be paid from APFs when subpart D of this part procedures are used and 
the amount to be paid from APFs exceeds $200,000. Similarly, approval of 
TAJAG, the Attorney General or the Assistant General Counsel is required 
when using procedures under subparts C, F, H, or J of this part and an 
apportioned amount to be paid from APFs exceeds the limits set for the 
Commander, USARCS.
    (b) Finality of settlement. A determination made by a claims 
settlement authority on a claim processed under subpart D of this part 
is subject to suit. A claim processed under subparts C or F of this part 
may be appealed. Claims processed under subparts C, D, E, H, or J of 
this part, or AR 27-20, chapter 11 may be reconsidered in accordance 
with the sections addressing reconsideration in those subparts (or 
paragraphs in the case of Chapter 11).



Sec. 536.152  Payment of claims generated by acts or omissions of NAFI 

employees.

    (a) The settlement or approval authority will forward the 
appropriate payment documents to the office listed in DA Pam 27-162, 
paragraph 2-80h, for payment.
    (b) Reimbursement to a foreign country of the United States' pro 
rata share of a claim paid pursuant to an international agreement will 
be made from NAFs.



Sec. 536.153  Claims involving tortfeasors other than nonappropriated fund 

employees: NAFI contractors.

    AAFES concessionaires and NAFI contractors, such as entertainment 
performers or groups, carnival operators, and fireworks displayers are 
considered independent contractors and claims arising from their 
activities should be disposed of as set forth in DA Pam 27-162, 
paragraph 2-15f. If a dispute arises as to the availability of liability 
or workers compensation insurance the claims should be referred to AAFES 
Dallas (see address in Sec. 536.30(e)(4)) or the Central Insurance 
Fund, U.S. Army Community and Family Support Agency as applicable.



Sec. 536.154  Claims involving tortfeasors other than nonappropriated fund 

employees: NAFI risk management program (RIMP) claims.

    The risk management program (RIMP) is administered by the U.S. Army 
Community and Family Support Center under the provisions of AR 215-1 and 
AR 608-10 (Family Child Care Provider Claims). Providers in order to 
encourage authorized personnel, that is, military and civilian 
employees, to use the family child care program and sports equipment, 
such claims are processed in a manner similar to NAFI claims in 
Sec. Sec. 536.146 through 536.152 of this subpart. Certain claims are 
payable from nonappropriated funds even though the U.S. is not liable 
under the FTCA or the MCA as the tortfeasor is not an appropriated fund 
or nonappropriated fund employee.



Sec. 536.155  Claims payable involving tortfeasors other than nonappropriated 

fund employees.

    (a) Non-NAFI RIMP claims can arise from the activities of:
    (1) Members of NAFIs or authorized users of NAFI sports equipment or 
devices for recreational purposes, while

[[Page 262]]

using such property, except real property, in the manner and for the 
purposes authorized by DA regulations and the charter, constitution, and 
bylaws of the particular NAF activity.
    (2) Family child care providers, authorized members of the 
provider's household and approved substitute providers while care under 
the family child care program is being provided in the manner prescribed 
in AR 608-10, except as excluded below. Such claims are generally 
limited to injuries to, or death of, children receiving care under the 
family child care program that are caused by the negligence of 
authorized providers. Claims arising from the transportation of such 
children in motor vehicles and claims involving loss of or damage to 
property are not cognizable.
    (b) An ACO or a CPO will ask the Commander USARCS for an advisory 
opinion prior to settling any non-NAFI RIMP claim where the person whose 
conduct generated liability does not fall clearly within the categories 
listed above. Such authorities may also ask, through the Commander 
USARCS, for an advisory opinion from the U.S. Army Community and Family 
Support Center prior to settling any claim arising under paragraph 
(a)(2) of this section, where it is not clear that the injured or 
deceased child was receiving care within the scope of the family child 
care program.
    (c) Where liability has been determined to exist for both non-NAFI 
RIMP and APF activities, liability will be apportioned between the two 
activities.
    (d) The total payment for all claims (including derivative claims), 
arising as a result of injury to, or death of, any one person is limited 
to $500,000 for each incident. Continuous or repeated exposure to 
substantially the same or similar harmful activity or conditions is 
treated as one incident for purposes of determining the limits of 
liability.



Sec. 536.156  Procedures for claims involving tortfeasors other than 

nonappropriated fund employees.

    (a) Reporting. Non-NAFI RIMP claims (regardless of the amount 
claimed) and incidents that could give rise to non-NAFI RIMP claims will 
be reported to USARCS and the Army Central Insurance Fund immediately.
    (b) Investigation. ACOs and CPOs are responsible for the 
investigation of non-NAFI RIMP claims. Such investigation will be 
closely coordinated with program managers responsible for the activity 
generating the claim. Close coordination with USARCS is also required, 
and USARCS will maintain mirror files containing the investigative 
materials of all actual and potential claims.
    (c) Payment. Non-NAFI RIMP claims will be transmitted for payment 
to: The Army Central Insurance Fund, ATTN: CFSC-FM-I, 4700 King Street, 
Alexandria, VA 22302-4406.
    (d) Commercial insurance. The provisions of Sec. 536.148(d) also 
apply to claims arising under this section, except that in claims 
involving family child care providers, a claims investigation will be 
conducted regardless of whether commercial insurance exists.



Sec. 536.157  Settlement/approval authority for claims involving tortfeasors 

other than nonappropriated fund employees.

    (a) Settlement authority. TJAG, TAJAG, and the Commander USARCS are 
authorized to approve in full or in part, or deny a non-NAFI RIMP claim, 
regardless of the amount claimed, except where an apportioned amount to 
be paid from APFs exceeds their monetary authority and the action of the 
Attorney General or Assistant General Counsel is required as set forth 
in Sec. 536.151(a).
    (b) Approval authority. (1) The staff judge advocate, Commander or 
chief of a command claims service, and a head of an area claims office 
are authorized to approve in full or in part non-NAFI RIMP claims 
presented in the amount of $50,000 or less, provided the acceptance is 
in full settlement and all claims and potential claims arising out of a 
single incident do not exceed $100,000.
    (2) The above authorities are not delegated authority to deny or 
make a final offer on a claim under this section. Claims requiring such 
action will be forwarded to the Commander USARCS with an appropriate 
recommendation.

[[Page 263]]

    (c) Finality of settlement. A denial or final offer on a non-NAFI 
RIMP claim is final and conclusive and is not subject to reconsideration 
or appeal.



PART 537_CLAIMS ON BEHALF OF THE UNITED STATES--Table of Contents




Sec.
537.1 Statutory authority for non-maritime claims.
537.2 Scope of non-maritime affirmative claims statutes.
537.3 Claims collectible.
537.4 Claims not collectible.
537.5 Applicable law.
537.6 Identification of recovery incidents.
537.7 Notice to USARCS.
537.8 Investigation.
537.9 Assertion.
537.10 Recovery procedures.
537.11 Litigation.
537.12 Settlement authority.
537.13 Enforcement of assertions.
537.14 Depositing of collections.
537.15 Statutory authority for maritime claims and claims involving 
          civil works of a maritime nature.
537.16 Scope for maritime claims.
537.17 Scope for civil works claims of maritime nature.
537.18 Settlement authority for maritime claims.
537.19 Demands arising from maritime claims.
537.20 Certification to Congress.

    Authority: 31 U.S.C. 3711-3720E; 42 U.S.C. 2651-2653; 10 U.S.C. 
1095; 10 U.S.C. 4803-4804; 33 U.S.C. 408.

    Source: 71 FR 69403, Nov. 30, 2006, unless otherwise noted.



Sec. 537.1  Statutory authority for non-maritime claims.

    (a) The Federal Claims Collection Act. The Federal Claims Collection 
Act (FCCA), is set forth at 31 U.S.C. 3711-3720E, as amended by the Debt 
Collection Act of 1982, Public Law 97-365, 96 Stat. 1749 (October 1982), 
Public Law 101-552, 104 Stat. 2746 (November 1990).
    (b) Federal Medical Care Recovery Act. The Federal Medical Care 
Recovery Act (FMCRA) is set forth at 42 U.S.C. 2651-53, as amended by 
the National Defense Authorization Act for Fiscal Year 1997, Public Law 
104-202, section 1075, 110 Stat. 2422.
    (c) Title 10 United States Code Section 1095. 10 U.S.C. 1095, Public 
Law 101-510, section 713, 107 Stat. 1547, 1689 (1993), as amended by 
Public Law 103-160, 104 Stat. 1485 (November 1990).

    Note to Sec. 537.1: All of these statutes may be viewed on the 
USARCS Web site, https://www.jagcnet.army.mil/85256F33005C2B92/
(JAGCNETDocID)/HOME?OPENDOCUMENT. Select the link ``Claims Resources.''



Sec. 537.2  Scope of non-maritime affirmative claims statutes.

    (a) Recovery for government property loss or damage. The FCCA, 
originally passed in 1966, gives federal agencies the authority to 
collect a claim of the United States government for money or property 
arising out of the activities of the agency in question. However, the 
broad authority is limited for purposes of this regulation to claims for 
loss of or damage to property, as the FMCRA takes precedence for medical 
care recoveries.
    (b) Recovery for medical expenses and lost military pay. (1) The 
FMCRA, passed in 1962, authorizes recovery from a third person of the 
expenses for medical care the United States furnishes to a person who is 
injured or suffers a disease when such care is authorized or required by 
law. Likewise the United States is authorized to recover the cost of pay 
for members of the uniformed services unable to perform duties. Recovery 
normally arises out of a third-party tort under local law as to which 
the United States has an independent cause of action.
    (2) Under 10 U.S.C. 1095 the United States is also deemed a third-
party beneficiary or subrogee under an alternative system of 
computations such as workers' compensation; hospital lien laws; contract 
rights under the terms of insurance policies including medical payment 
coverage; uninsured, underinsured and no-fault coverage; and no-fault 
laws.
    (c) Recovery of health insurance. 10 U.S.C. 1095 permits recovery of 
health insurance for medical care furnished at military medical 
treatment facilities (MTFs), including supplemental policies. This 
third-party collection program has been delegated to the Surgeon General 
of the Army by the Judge Advocate General (TJAG).
    (d) Worldwide applicability. The foregoing authorities are worldwide 
in application, except for intergovernmental

[[Page 264]]

claims waived by treaty, for example, North Atlantic Treaty Association 
Status of Forces Agreement (NATO SOFA), Article VIII, paragraph 1.



Sec. 537.3  Claims collectible.

    (a) Claims for medical expenses. Claims for the value of medical 
care furnished to active or retired members of the uniformed services, 
family members of either category, employees of the Department of the 
Army (DA) or Department of Defense (DOD), or other persons to whom care 
was furnished because authorized or required by law and resulting in 
injury, death or disease, including those:
    (1) Arising out of a tort under local law,
    (2) Arising out of an on-the-job injury compensable under workers' 
compensation law except for Federal Employees Compensation Act (FECA) 
recoveries,
    (3) Based on the United States being a third-party beneficiary of 
the insurance contract of the injured party to include medical payment 
coverage, lost wages, as well as uninsured, underinsured, and no-fault 
coverage.
    (b) Claims for lost military pay. Claims for the value of lost pay 
of active members of the uniformed services arising out of a tort under 
local law resulting in injury, death or disease.
    (c) Claims for property loss. Claims arising out of a tort under 
local law for the value of lost or missing DA or DOD property, including 
non-appropriated fund instrumentality (NAFI) property, or for the cost 
of repairs of such property, including damage to assigned quarters, are 
not collectable under 10 U.S.C. 2775. (See Sec. 537.4).



Sec. 537.4  Claims not collectible.

    (a) Where the tortfeasor is a department, agency or instrumentality 
of the United States. (See Sec. 536.27(g) of this chapter).
    (b) Where the tortfeasor is a member of the uniformed services or an 
employee of the DA or DOD, acting within the scope of employment, who 
damages or loses property. See AR 735-5, chapter 13.
    (c) Where the damage or loss of property falls under a contractor 
bill of lading and recovery is pursued by the contracting agency, e.g., 
Surface Deployment and Distribution Command (SDDC), formerly the 
Military Traffic Management Command (MTMC), for lost or destroyed 
shipments.
    (d) Where damage to assigned quarters, or equipment or furnishings 
therein, is collectible from a member of the uniformed services under 10 
U.S.C. 2775.
    (e) Where the medical care is furnished by a Department of Veterans 
Affairs facility to other than active duty members of the uniformed 
services for service-connected disabilities.



Sec. 537.5  Applicable law.

    (a) Basis for recovery. (1) Most recovery assertions are based on 
the negligence or wrongful acts or omissions of the person or entity 
that caused the loss. These actions or omissions must constitute a tort 
as determined by the law of place of occurrence, except in no-fault 
jurisdictions where the no-fault law permits recovery. Where the tort is 
not complete within the jurisdiction where it originally occurred, the 
law of the original jurisdiction is nevertheless applicable. For 
example, if a plane crashes in Virginia due to the negligence of a 
Federal Aviation Administration controller in Maryland, Maryland law 
determines the extent and nature of the tort. However, as to what law of 
damages is applicable, Maryland or Virginia depecage (choice of law) 
theory may apply. For example, if the flight originated in Indiana and 
the destination was Virginia, the conflict law of both Maryland and 
Virginia must be applied. See DA Pam 27-162, paragraph 2-35.
    (2) Recovery assertions based on the United States being a third-
party beneficiary or subrogee are not based on tort, but on the right to 
recover under local law, for example, the right of a third party to 
recover workers' compensation benefits is based on local law. However, 
the right of a third-party beneficiary to recover under an insurance 
contract may turn on whether an exclusionary clause is valid under the 
law of the jurisdiction where the contract was made.
    (b) Statute of limitations. (1) Federal law determines when a 
recovery assertion must be made. Assertions for the

[[Page 265]]

value of medical expenses, lost military pay or property loss or damage 
based on a tort must be made not later than three years from the date of 
accrual, 28 U.S.C. 2415(b). The date of accrual is usually the date of 
the occurrence giving rise to the recovery, for example, the date of 
injury or death for medical expenses and lost military pay or the date 
of damage or loss for a government property assertion. There are 
exceptions. For example, the loss of property in rightful possession of 
another accrues when that person claims ownership or converts the 
property to his own use.
    (2) Recovery assertions based on an implied-in-law contract against 
a no-fault or personal-injury-protection insured must be brought no 
later than six years from the date of accrual, 28 U.S.C. 2415(a), United 
States v. Limbs, 524 F.2d 799 (9th Cir. 1975). The date of accrual is 
usually the date of occurrence.
    (3) Actions asserted on a third-party beneficiary basis against an 
insurer or workers compensation fund must comply with the state notice 
requirement, which varies from one to six years, or the insurer's notice 
requirement set forth in the policy. United States v. Hartford Acci. & 
Indem. Co., 460 F.2d 17 (9th Cir. 1972), cert. den. 409 U.S. 979 (1972).
    (4) The statute of limitations is tolled or does not start running 
until the responsible federal official is notified of the existence of a 
recoverable loss, Jankowitz v. United States, 533 F.2d 538 (D.C. Cir. 
1976), United States v. Golden Acres, Inc., 684 F. Supp. 96 (D. Del. 
1986). The responsible federal official can be the area claims office 
(ACO), the claims processing office (CPO), a command claims service or 
USARCS, depending on who receives the notice under this regulation. 
However, because of the responsibility to notify the MTF or TRICARE 
fiscal intermediary, and by regulation the notice must be expeditious, 
delayed notification could start the statute of limitations running. 
Additionally, when an ACO or CPO discovers the existence of an 
assertion, the statute of limitations will begin to run regardless of 
when the MTF or the TRICARE intermediary sends a notice. The date of 
receipt of a notice must be entered into the affirmative claims 
management program/database (ACMP) and the notice must be date-stamped 
and initialed.



Sec. 537.6  Identification of recovery incidents.

    (a) Responsibilities. Each command claims service and ACO will 
develop means to identify recovery incidents arising in its geographic 
area of responsibility. See Sec. Sec. 536.10 and 536.11 of this chapter 
and paragraph 2-2 of DA Pam 27-162. This requires publication of a 
claims directive to all DOD and Army installations, units and activities 
in its area, emphasizing the importance of reporting serious incidents 
to recovery judge advocates (RJAs) or civilian recovery attorneys.
    (b) Screening procedures. (1) Establish a point of contact in each 
unit and activity in the area of responsibility and screen their sources 
periodically, including motor pools, family housing, departments of 
public works, safety offices, provost marshals, and criminal 
investigation divisions. Review civilian news and police reports, 
military police blotters and reports, court proceedings, line of duty 
and AR 15-6 investigations and similar sources to identify potential 
medical care recovery claims.
    (2) The MTF commander will ensure that the claims office is notified 
of instances in which the MTF provides, or is billed by a civilian 
facility for, inpatient or outpatient care resulting from injuries (such 
as broken bones or burns arising from automobile accidents, gas 
explosions, falls, civilian malpractice, and similar incidents) that do 
not involve collections from a health benefits or Medicare supplemental 
insurer. Claims personnel will coordinate with MTF personnel to ensure 
that inpatient and outpatient records and emergency room and clinic logs 
are properly screened to identify potential cases. The RJA or recovery 
attorney will screen the MTF comptroller records database and division 
records as well as ambulance logs to identify potential medical care 
recovery cases. The RJA or recovery attorney will also coordinate with 
Navy and Air Force claims

[[Page 266]]

offices and MTFs to ensure they identify potential claims involving 
treatment provided to Army personnel.
    (3) The MTF commander will also ensure that the MTF does not release 
billings or medical records, or respond to requests for assistance with 
workers' compensation forms, without coordinating with the RJA or 
recovery attorney.
    (4) The TRICARE fiscal intermediary is required to identify and mail 
certain information promptly to the claims office designated as the 
state point of contact. The fiscal intermediary must mail the TRICARE 
Explanation of Benefits, showing the amount TRICARE paid on the claim 
along with what diagnostic codes were used, and DD Form 2527, Statement 
of Personal Injury. A sample Statement of Personal Injury (DD Form 2527) 
is posted on the USARCS Web site; for the address see the Note to Sec. 
537.1.
    (5) The RJA or recovery attorney will also coordinate with Navy and 
Air Force claims offices and MTFs to ensure they identify potential 
claims involving treatment provided to Army personnel, AR 40-400, 
paragraph 13-5.
    (c) When to open a recovery file. (1) Upon identification of a 
potential recovery incident or upon receipt of a billing from a TRICARE 
Fiscal Intermediary or an MTF, a file will be opened and entered into 
the ACMP by the first ACO or CPO that learns of the event even if 
liability has not been established. Incidents under Navy, Air Force or 
Coast Guard jurisdiction will not be so entered but referred to the 
responsible service. Complete listings of claims/recovery offices 
worldwide are posted on the USARCS Web site; for the address see the 
Note to Sec. 537.1. At the site, select the link ``Claims Resources.'' 
At the next screen, click on ``Tables Listing Claims Offices 
Worldwide.'').
    (2) Army responsibility for affirmative claims is as follows:
    (i) Damage to or loss of real or personal property of the DOD or the 
Army even if located at installations or activities under the 
jurisdiction of other uniformed services.
    (ii) Personal injury to persons whose primary care for an accident-
related injury is furnished at an Army MTF, regardless of the uniformed 
services affiliation of the person or sponsor, but not to those treated 
at another uniformed service's MTF even if the person is an active duty 
Army member.
    (iii) Personal injury to an active duty or retired Army member or a 
family member of either category treated under TRICARE.
    (iv) A lead agency will be established whenever:
    (A) Property damaged or lost belonging to more than one service is 
involved in the same incident.
    (B) Personal injury victims are treated at MTFs of more than one 
service.
    (C) Personal injury victims with affiliations to more than one 
service are treated under TRICARE.
    (D) Lead agencies may be established locally for claims valued at 
$50,000 or less. For claims greater than $50,000 USARCS will be notified 
and will deal with the other service at headquarters level. (See Sec. 
536.32 of this chapter.)



Sec. 537.7  Notice to USARCS.

    Upon receipt of notice of a claim involving either actual or 
potential amounts within USARCS' monetary jurisdiction, that is, where 
final action will be taken by USARCS or the Department of Justice, 
immediate notice will be given to USARCS. Forwarding a copy of the 
serious incident report, discussed in Sec. 536.22(c) of this chapter, 
to USARCS, will meet this requirement. Thereafter, mirror file copies 
will be furnished to USARCS in accordance with AR 27-20, paragraph 2-12. 
This allows for continuous monitoring and discussion between the ACO and 
the USARCS area action officer (AAO).



Sec. 537.8  Investigation.

    (a) Claims over $50,000. Hands-on investigation will be conducted by 
claims personnel as set forth in DA Pam 27-162, Chapter 2, Section IV, 
regardless of the amount of insurance coverage immediately available, 
with a view to discovery of other sources of recovery, for example, 
vehicle defects or improper maintenance, road design and absence of 
warning signs, products liability, medical malpractice in civilian 
treatment facilities. Where the employment

[[Page 267]]

of experts is indicated follow the procedures in Sec. 536.39 of this 
chapter. No attorney representation agreement will be sent to the 
injured party's representative without USARCS approval.
    (b) Claims of $50,000 or less. The amount of hands-on investigative 
effort is directly related to the amount of insurance coverage that the 
tortfeasor possesses and the amount of coverage that the injured party 
has. Where the injured party is represented, request information from 
his lawyer or insurer, in addition to the documents obtained in initial 
screening. The ACO should be able to form an independent opinion as to 
liability based on the investigation of the government and not solely on 
that of the injured party's attorney.
    (c) Claims of $5,000 or less. Small claims procedures are applicable 
to the extent feasible. See Sec. 536.33 of this chapter. Investigation, 
assertion and settlement by e-mail, phone or fax is encouraged. The 
investigation and action should be recorded. DA Form 1668, Small Claims 
Certificate, may be used as a model, modifying it as needed. A sample 
completed Small Claims Certificate is posted at USARCS Web site for the 
address see the Note to Sec. 537.1.
    (d) Relations with injured party. (1) When the injured party becomes 
known and an interview can be conducted locally, all relevant facts will 
be obtained unless the injured party is represented by a lawyer. In this 
latter event, basic information as set forth on DD Form 2527, Statement 
of Personal Injury (a completed sample is posted at the USARCS Web site; 
for the address see the Note to Sec. 537.1) can be obtained without 
violating lawyer-client privilege. If the injured party is not 
immediately available, the information can be obtained by requesting 
assistance from another ACO, a unit claims officer, a reservist or Army 
National Guard (ANG) member, another federal agency, or another means.
    (2) When the injured party is represented, a Health Insurance 
Portability and Accountability Act (HIPAA) medical release form (sample 
posted at the USARCS Web site; see Sec. 537 (b)(4)) permitting USARCS 
to send out the medical records of the injured party for claims 
purposes, will be sent to the injured party's lawyer for completion and 
return.
    (3) When the injured party or his or her lawyer refuses to furnish 
necessary information, it can usually be obtained by other means, for 
example, from an accident report or investigation. A notice will be 
furnished to all parties that the government has been assigned the right 
to bring a claim for the value of medical care furnished, lost pay or 
value of property lost or destroyed, and that the United States has the 
right to bring an independent cause of action. In absence of timely and 
appropriate response, discuss with the AAO to determine what action 
should be taken.



Sec. 537.9  Assertion.

    (a) Asserting demands. If a prima facie claim exists under state 
law, a written demand will be made against all the tortfeasors and 
insurers. This includes demands against the injured party's own 
insurance coverage, no-fault coverage and workers' compensation carrier. 
The earlier the demand the better. A demand will not be delayed until 
the exact amount of medical expenses or lost pay is determined. The 
demand letter will state that the amount will be furnished when known. A 
copy of the demand will be furnished to the injured party or, if 
represented, his lawyer. Two sample demand (or assertion) letters are 
posted at the USARCS Web site (for the address see the Note to Sec. 
537.1). Demand letters are for initial contact with insurance companies. 
One of the posted samples is for a medical assertion for a soldier (that 
includes wages). The other is for a medical assertion for a civilian 
(that does not include wages). Remember the following points when 
asserting demands:
    (1) The fact that the medical expenses have been assigned to the 
United States and as a result the United States has a cause of action in 
federal or state court. All parties will be notified that if the insurer 
pays the amount to another party, the United States has the right to 
collect from the insurer.
    (2) Demands for third-party torts are under the authority of the 
FMCRA; demands where there is no tortfeasor are under the authority of 
10 U.S.C. 1095;

[[Page 268]]

demands for property loss or damage are under the authority of the FCCA.
    (b) Documentation of damages. MTFs are required by AR 40-400, 
Patient Administration, chapter 13 to furnish complete billing documents 
to RJAs.
    (1) TRICARE bills are obtained from the fiscal intermediary 
servicing the ACO. The amounts are based on the amount TRICARE pays and 
not the amount the patient is billed by the provider. TRICARE bills must 
be screened to insure that the care is incident or accident related as 
the demand is limited to that amount.
    (2) MTF bills, both outpatient and inpatient, are obtained from 
either the MTF co-located with the ACO or if another MTF is involved, 
from that MTF, regardless of uniformed service affiliation. Outpatient 
bills include not only the cost of the visit but also the cost of each 
procedure, such as x-rays or laboratory tests. Inpatient billing is not 
based on services rendered but on a diagnostic group. Charges for 
professional inpatient services will be itemized the same as outpatient 
care. Charges for prescription services will be included. Screening to 
ensure that only incident or accident related care is claimed is 
essential. The cost of ambulance services, ground or air, will be 
calculated with MTF assistance and demanded. Burial expenses are 
obtained from the local mortuary affairs office on DD Form 2063, but 
will be demanded only when the insurance coverage includes such 
expenses.
    (3) Lost pay will be obtained from the leave or earnings statement 
or the active duty pay chart for the year or years in question and will 
include special and incentive pay unless the injured service member did 
not receive either due to the length of time off assigned duty. The time 
off duty will be based on the time service members are unable to perform 
duties for which they have been trained (their military occupational 
specialty). It will not be limited to inpatient time. Time in a medical 
holding or convalescent leave will be lost time.
    (4) The amount recoverable for personal property losses is limited 
to its value at the time of loss. Depreciation charts may be used to 
determine the reduction from the value at purchase. Replacement value 
will not be used. Both real and personal property damage will be on the 
value of labor and cost of material including the use of heavy 
equipment. When the cost of repairs is greater than $50,000, 10% 
overhead will be added. This can be substantiated using case law and by 
seeking documentation from the repair facility.
    (c) Double collections prohibited. When the cost of medical care is 
recoverable by the MTF from medical care insurance, both primary and 
supplemental under 10 U.S.C. 1095, an assertion under FMCRA will be 
made, including a demand for lost pay not recoverable out of health 
insurance. While the United States is entitled to recover costs of 
medical care from both the injured parties' medical insurance and from 
the third-party tortfeasor, USARCS policy is not to collect twice. RJAs 
will carefully coordinate with the MTF to insure that double collection 
does not occur. Demand for lost pay should be enforced as it is not 
recoverable from medical care insurance.



Sec. 537.10  Recovery procedures.

    (a) Recovery personnel have three means of enforcing recovery 
following initial assertion.
    (1) Referral to litigation pursuant to Sec. 537.11;
    (2) The head of an ACO should request Chief, Litigation Division, 
OTJAG to have the RJA appointed as a Special Assistant United States 
Attorney when the following criteria are met:
    (i) Filing suit is a frequent necessity, e.g., insurance companies 
are refusing payment on small claims either by raising issues well 
settled or by regularly reducing the amount of medical care as not fair 
and reasonable;
    (ii) The local U.S. Attorney's office is in favor of such 
appointment due to his previous experience with the RJA and the 
additional burden of affirmative claims litigation on his staff;
    (iii) The RJA has at least two years experience and is likely to 
continue in the RJA assignment for at least one year; and
    (iv) Commander USARCS concurs in the appointment and is willing to 
furnish support.

[[Page 269]]

    (3) The RJA may request that the attorney representing the injured 
party include the amount asserted by the United States as part of 
special damages. The injured party's attorney may not represent the 
United States nor may the United States pay attorney fees as this would 
be in violation of 5 U.S.C. 3106. Where indicated, this arrangement 
should be reduced to writing. Be mindful that the attorney's duty to the 
injured party is in conflict with the interests of the United States 
where the amount potentially recoverable is small in comparison to the 
amount asserted by the United States. In this event the RJA should 
pursue recovery independently.
    (b) Careful monitoring of all assertions is required to insure 
timely follow-up resulting in collection or suit where indicated. 
Installation of a suspense system to avoid the expiration of the statute 
of limitations is essential. Recommendations to file suit should be 
forwarded by the RJA well prior to the expiration of the statute of 
limitations. Within six months prior to the running of the statute of 
limitations, USARCS must be notified of the status of the claim or 
potential claim. Follow-up demands should precede filing suit to create 
a written record of efforts to avoid suit. Personal contact with all 
parties is encouraged. When represented, contact the representative.
    (c) Sources other than vehicle liability coverage should be 
exhausted in cases where the amount of the potential recovery exceeds 
$50,000 and the coverage is small. Coordination with USARCS is required. 
USARCS can obtain expert witnesses for medical malpractice cases, 
product liability cases, or other cases in which another tortfeasor may 
be involved.



Sec. 537.11  Litigation.

    (a) If a tortfeasor or insurer refuses to settle, or if an injured 
party's attorney improperly withholds funds, the RJA or recovery 
attorney must consider litigation to protect the interests of the United 
States. Litigation is particularly appropriate if a particular insurer 
consistently refuses to settle claims, or if the government's interests 
are not adequately represented on a claim over $25,000.
    (b) RJAs or recovery attorneys must maintain close contact with 
local U.S. Attorney's Offices to ensure these offices are willing to 
initiate litigation on cases.
    (c) In order to directly initiate or intervene in litigation, an RJA 
or recovery attorney must prepare a litigation report and formally refer 
the case through the Affirmative Claims Branch, USARCS, and the 
Litigation Division, OTJAG (as required by AR 27-40, chapter 5), to the 
U.S. Attorney. While the RJA or recovery attorney, in conjunction with 
the Litigation Division Torts Branch, should attempt to have the U.S. 
Attorney's Office initiate litigation at least six months before the 
expiration of the statute of limitations (SOL), the RJA or recovery 
attorney may contact USARCS telephonically if SOL problems necessitate 
quick action on a case. The RJA or recovery attorney should also contact 
USARCS if a U.S. Attorney is reluctant to pursue an important case. An 
injured party's attorney may represent the government's interest in 
litigation without any special coordination.



Sec. 537.12  Settlement authority.

    (a) Assertions for $50,000 or less--(1) Approval authority. An RJA 
or civilian recovery attorney, if delegated authority by his or her ACO 
or CPO, may compromise a collection on a claim asserted for $50,000 or 
less, unless recovery action is reserved by a command claims service.
    (2) Final action authority. (i) An ACO, or CPO if delegated 
authority by its ACO, may terminate collection action on a claim 
asserted for $50,000 or less, unless action is reserved by a command 
claims service.
    (ii) The foregoing authorities may waive a claim asserted for 
$50,000 or less where undue hardship exists.
    (iii) Determination of amount. The amount of $50,000 is determined 
totaling the amounts for medical care, lost military wages, lost 
earnings or government property damage arising from the same claims 
incident.
    (b) Assertions over $50,000. USARCS retains final authority over 
assertions over $50,000. By use of the mirror file

[[Page 270]]

system and through a dialogue between USARCS and the field during the 
course of the assertion, USARCS will decide whether it or the RJA or 
civilian recovery attorney will conduct the negotiations. To help it 
decide, the RJA or civilian recovery attorney will forward a memorandum 
for either medical or property recovery approval, in the format of the 
samples posted at the USARCS Web site (for the address see the Note to 
Sec. 537.1). USARCS may waive the requirement to submit a memorandum.
    (c) Appeals--(1) Assertion for $50,000 or less. Where the assertion 
is made by an RJA or civilian recovery attorney, the appeal will be 
determined by the SJA, the medical center judge advocate, or head of the 
ACO or CPO. Otherwise, the appeal will be determined by the Commander 
USARCS.
    (2) Assertion over $50,000. Where the assertion is made by a Claims 
Judge Advocate or claims attorney, the appeal will be determined by the 
Commander USARCS.
    (d) Compromise or waiver. Any assertion may be compromised, waived 
or terminated in whole or in part, if for example:
    (1) The cost to collect does not justify the cost of enforcement.
    (2) There is evidence of fraud or misrepresentation.
    (3) The U.S. cannot locate the tortfeasor.
    (4) Legal merit has not been substantiated.
    (5) The statute of limitations has run and the debtor refuses to 
pay.
    (6) Collection of all or part of the amount of funds demanded would 
create inequity. The following criteria apply:
    (i) Detailed information on what funds are available for recovery.
    (ii) Reasonable value of the injured party's claim for permanent 
injury, pain and suffering, decreased earning power, and any other 
special damages.
    (iii) Military, Department of Veterans Affairs, Social Security 
disability, and any other government benefits accruing to the injured 
party.
    (iv) Probability and amount of future medical expenses of the 
government and the injured party.
    (v) Present and prospective assets, income, and obligations of the 
injured party and those dependent on him or her.
    (vi) The financial condition of the debtor.
    (vii) The degree and nature of contributory negligence on the part 
of the injured party in causing his injury or death.
    (viii) The percentage of attorney's fees that his attorney is 
willing to reduce.
    (ix) The willingness of the tortfeasor to enter into an installment 
agreement.
    (e) Releases. The RJA or recovery attorney may execute a release for 
affirmative claims in the pre-litigation stage acknowledging that the 
government has received payment in full of the amount asserted or the 
compromised amount agreed upon, or the final installment payment. The 
format of the release should be similar to the sample posted at the 
USARCS Web site (for the address see the Note to Sec. 537.1). However, 
the RJA or recovery attorney may not execute either an indemnity 
agreement or a release which prejudices the government's right to 
recover on other claims arising out of the same incident without the 
approval of USARCS. In addition, the RJA or recovery attorney may not 
execute a release that purports to release any claim that the injured 
party may have other than for medical care furnished or to be furnished 
by the United States. The RJA or recovery attorney will not execute a 
release if the government's claim is waived or terminated.



Sec. 537.13  Enforcement of assertions.

    Meritorious assertions that do not result in collections should be 
enforced as follows:
    (a) Where the debtor is a business or corporation otherwise 
financially capable the RJA or equivalent should forward a 
recommendation to bring suit or intervene in an existing suit regardless 
of the amount of the debt. As authorized by 28 U.S.C. 3011, the demand 
amount in the complaint shall include an additional 10% of the original 
claimed amount, to cover the administrative costs of processing and 
handling the enforcement of the debt.

[[Page 271]]

    (b) Where the debtor is an individual rather than a business, an 
asset determination should be made both as to existing assets or 
prospective earnings. If the injured party's attorney has made an assets 
search which is reliable, review the search before requesting a new one. 
Such a search can be paid for out of existing collections.
    (1) If the debtor has assets refer to USARCS for transfer to a debt 
collection contractor or an agency debt collection center as determined 
by USARCS.
    (2) If the debtor has no assets, but prospective future earnings, 
RJA may seek a confession of judgment and maintain contact with the 
debtor for future collection where authorized by state law and filing of 
suit is not required. If the amount is less then $5,000, enter into an 
installment payment arrangement.



Sec. 537.14  Depositing of collections.

    (a) Depositing property damage recovery--(1) Machines, supplies, 
watercraft, aircraft, vehicles other than General Services 
Administration-owned. Recovered money must be deposited into the General 
Treasury Account 21R3019. This account remains the same every fiscal 
year. It was established in accordance with 31 U.S.C. 3302(b) and by 
Comptroller General decision B-205508, 64 Comp. Gen. 431.
    (2) Real property. Collection for damage to real property must be 
deposited into an escrow account on behalf of the installation or 
activity at which the loss occurred. This escrow account must be set up 
at the request of the command claims service, ACO or CPO with the local 
finance office or resource management office with responsibility for 
department of engineering and housing or department of public works 
funds. The escrow account must be set up and managed by the department 
of engineering and housing or the department of public works to (1) 
temporarily hold deposits, and (2) to ``roll over'' deposits each fiscal 
year in order to avoid reversion of these deposits to the General 
Treasury at the end of each fiscal year. If the escrow account is not 
set up and managed in this manner it is operating in violation of 10 
U.S.C. 2782.
    (3) NAFI property. The Risk Management Program (RIMP) often 
reimburses local NAFIs for property loss or damage to facilitate return 
of equipment to daily use. When money is recovered from tortfeasors and 
their insurance carriers contact the NAFI involved for instructions on 
the current procedures as to where the recovered money is to be 
forwarded and deposited.
    (4) Army Stock Fund or Defense Business Operations Fund property. 
Monies recovered for damage to property belonging to one of these funds 
will be returned to that fund unless the fund has charged the cost of 
repair or replacement to an appropriated fund account. The Defense 
Business Operations Fund replaced the Army Industrial Fund.
    (5) Government housing in cases of abuse or neglect by soldiers or 
families. Monies recovered for damage to government housing caused by a 
soldier's abuse or negligence (or by a soldier's family member or guest 
of the soldier) will be deposited into that installation's family 
housing operations and maintenance (O&M) account.
    (6) Government housing in cases of negligence by nonresidents. 
Government housing caused by the negligence of a nonresident must be 
asserted against the nonresident directly or through his/her insurer. 
Settlement checks must be deposited into the real property escrow 
account in accordance with 10 U.S.C. 2782.
    (b) Depositing recovery of pay provided to a soldier while 
incapacitated. Monies recovered for the costs of pay provided to a 
soldier injured by the tortious acts of another shall be credited to the 
local O&M account that supports the command, activity, or other unit to 
which the soldier was assigned at the time of the injury.
    (c) Depositing medical care recovery--(1) To a medical treatment 
facility account. Continental U.S. (CONUS) and outside the continental 
U.S. (OCONUS) claims offices, and command claims services, will deposit 
money recovered from an automobile insurer for medical care provided, 
paid for by, in or through an MTF to the O&M account of the Army, Navy, 
or Air Force MTF that provided the care. CONUS and OCONUS claims 
offices, and command

[[Page 272]]

claims services, will deposit money recovered from any payor, under any 
provision of law, for medical care provided or paid for by, in or 
through an MTF into the MTF's O&M account.
    (2) Deposits when TRICARE paid directly for treatment. The account 
in which to deposit affirmative claims recoveries when TRICARE has paid 
directly for the medical treatment is a Defense Health Program (DHP) 
account for reallocation to the services. This replaces the general 
treasury miscellaneous receipts account published in AR 37-100 
(obsolete). Deposit to TRICARE using this new account for recoveries 
pending deposit, and recoveries for any claim settled on or after 
October 1, 2002. Retroactive claims depositing is not necessary.
    (3) Apportionment of medical care recovery between accounts. Claims 
offices will often have to apportion recovered money among different 
accounts.
    (i) Apportioning money between accounts. If care was provided by an 
MTF and paid for by or through the MTF and/or directly by TRICARE and/or 
a unit account for military lost wages if any, and the amount recovered 
is less than the amount asserted, deposit a prorated amount of money 
into each TRICARE account.
    (ii) Apportioning money between two or more medical treatment 
facility accounts. If care was provided by two or more MTFs and the 
claims office recovers less than the amount asserted, the claims office 
should give each MTF a pro rata share of the money recovered. For 
example, if MTF one provided $2,000 worth of care and MTF two provided 
$1,000 worth of care, the claims office will deposit $800 of a $1,200 
recovery to MTF one's account and the remaining $400 to MTF two's 
account. Similarly, if the claims office recovers an amount less than 
that asserted for medical care expenses and costs of pay provided, the 
claims office should give a pro rata share of the money recovered to 
both the MTF and the appropriation account that supports the injured 
soldier's unit.
    (d) Fiscal integrity. Field claims offices must reconcile the 
property damage and medical care recovery accounts with their servicing 
defense accounting office. Field claims offices must ensure that their 
deposits have been credited to the proper accounts and that these 
accounts have not been improperly charged. All accounts must be 
reconciled at the end of the fiscal year.



Sec. 537.15  Statutory authority for maritime claims and claims involving 

civil works of a maritime nature.

    (a) The Army Maritime Claims Settlement Act. The sections pertinent 
to maritime affirmative claims are set out at 10 U.S.C. 4803-4804.
    (b) The Rivers and Harbors Act. The section of the Act pertinent to 
affirmative claims involving civil works of a maritime nature is set out 
at 33 U.S.C. 408.



Sec. 537.16  Scope for maritime claims.

    The Army Maritime Claims Settlement Act (10 U.S.C. 4803-4804) 
applies worldwide and includes claims that arise on high seas or within 
the territorial waters of a foreign country.
    (a) 10 U.S.C. 4803 provides for agency settlement or compromise of 
claims for damage to:
    (1) DA-accountable properties of a kind that are within the federal 
maritime jurisdiction.
    (2) Property under the DA's jurisdiction or DA property damaged by a 
vessel or floating object.
    (b) 10 U.S.C. 4804 provides for the settlement or compromise of 
claims in any amount for salvage services (including contract salvage 
and towage) performed by the DA. Claims for salvage services are based 
upon labor cost, per diem rates for the use of salvage vessels and other 
equipment, and repair or replacement costs for materials and equipment 
damaged or lost during the salvage operation. The sum claimed is usually 
intended to compensate the United States for operational costs only, 
reserving, however, the government's right to assert a claim on a 
salvage bonus basis in accordance with commercial practice.
    (c) The United States has three years from the date a maritime claim 
accrues under this section to file suit against the responsible party or 
parties.

[[Page 273]]



Sec. 537.17  Scope for civil works claims of maritime nature.

    Under the River and Harbors Act (33 U.S.C. 408), the United States 
has the right to recover fines, penalties, forfeitures and other special 
remedies in addition to compensation for damage to civil works 
structures such as a lock or dam. However, claims arising under 10 
U.S.C. 4804 are limited to recovery of actual damage to Corps of 
Engineers (COE) civil works structures.



Sec. 537.18  Settlement authority for maritime claims.

    (a) The Secretary of the Army, the Army General Counsel as designee 
of the Secretary, or other designee of the Secretary may compromise an 
affirmative claim brought by the United States in any amount. A claim 
settled or compromised in a net amount exceeding $500,000 will be 
investigated and processed and, if approved by the Secretary of the Army 
or his or her designee, certified to Congress for final approval.
    (b) TJAG, TAJAG, the Commander USARCS, the Chief Counsel COE, or 
Division or District Counsel Offices may settle or compromise and 
receive payment on a claim by the United States under this part if the 
amount to be received does not exceed $100,000. These authorities may 
also terminate collection of claims for the convenience of the 
government in accordance with the standards specified by the DOJ.
    (c) An SJA or a chief of a command claims service and heads of ACOs 
may receive payment for the full amount of a claim not exceeding 
$100,000, or compromise any claim in which the amount to be recovered 
does not exceed $50,000 and the amount claimed does not exceed $100,000.
    (d) Any money collected under this authority shall be deposited into 
the U.S. General Treasury, except that money collected on civil works 
claims in favor of the United States pursuant to 33 U.S.C. 408 ``shall 
be placed to the credit of the appropriation for the improvement of the 
harbor or waterway in which the damage occurred * * *'' (33 U.S.C. 412; 
33 U.S.C. 571).



Sec. 537.19  Demands arising from maritime claims.

    (a) It is essential that Army claims personnel demand payment, or 
notify the party involved of the Army's intention to make such demands, 
as soon as possible following receipt of information of damage to Army 
property where the party's legal liability to respond exists or might 
exist. Except as provided below pertaining to admiralty claims and 
claims for damage to civil works in favor of the United States pursuant 
to 33 U.S.C. 408, copies of the initial demand or written notice of 
intention to issue a demand letter, as well as copies of subsequent 
correspondence, will be provided promptly to the Commander USARCS, who 
will monitor the progress of such claims.
    (b) Subject to limitation of settlement authority, demands for 
admiralty claims and civil works damages in favor of the United States 
pursuant to 33 U.S.C. 408 may be asserted, regardless of amount, by the 
Chief Counsel COE, or his designees in COE Division or District Counsel 
offices.
    (c) Where, in response to any demand, a respondent denies liability, 
fails to respond within a reasonable period, or offers a compromise 
settlement, the file will be promptly forwarded to the Commander USARCS, 
except in those cases in which a proposed compromise settlement is 
deemed acceptable and the claim is otherwise within the authority 
delegated in Sec. 537.18 of this part. Files for admiralty claims and 
civil works claims in favor of the United States pursuant to 33 U.S.C. 
408 will be promptly forwarded to the United States Department of 
Justice.



Sec. 537.20  Certification to Congress.

    Admiralty claims, including claims for damage to civil works in 
favor of the United States pursuant to 33 U.S.C. 408, proposed for 
settlement or compromise in a net amount exceeding $100,000 will be 
submitted through the Commander USARCS to the Secretary of the Army for 
approval and if in excess of $500,000 for certification to Congress for 
final approval.

[[Page 274]]



PART 538_MILITARY PAYMENT CERTIFICATES--Table of Contents




Sec.
538.1 Definitions.
538.2 Use of military payment certificates.
538.3 Restrictions on possession and use.
538.4 Convertibility of military payment certificates.
538.5 Conversion of invalidated military payment certificates.
538.6 Claims.

    Authority: Sec. 3, 58 Stat. 821, as amended; 31 U.S.C. 492c.

    Source: 44 FR 76784, Dec. 28, 1979, unless otherwise noted.



Sec. 538.1  Definitions.

    (a) United States dollar instruments. For the purpose of this 
section, United States dollar instruments include the following:
    (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.

[[Page 275]]



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 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

[[Page 276]]

confiscated and the dollar proceeds deposited in the Treasury to the 
General Fund (Miscellaneous) Receipt Account 211099, ``Fines, penalties 
and forfeitures not otherwise classified.'' Collection vouchers 
affecting these deposits will cite claimants' names and sufficient 
information to permit ready identification of the deposits in order to 
facilitate the processing of any subsequent claims for amounts so 
deposited.
    (d) Transactions with disbursing officers of other services. Dollar 
instruments may be exchanged for military payment certificates or 
military payment certificates for dollar instruments in transactions 
with Navy and Air Force disbursing officers and their agents. Major 
overseas commanders may specifically authorize such transactions with 
other disbursing officers of the United States Government and their 
agents.



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 277]]



                     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 278]]

    (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 279]]

    (4) Meet the physical fitness standards prescribed by the school.

                        PARTS 543-544 [RESERVED]

[[Page 280]]



       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 281]]

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 282]]

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 283]]

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 284]]

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 285]]

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 286]]

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 287]]

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 288]]



  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 289]]



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 290]]

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 291]]

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 292]]

    (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 293]]

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 294]]

(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 295]]

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 296]]

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 297]]



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 298]]



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 299]]



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 300]]

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 301]]

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 302]]

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 303]]

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 304]]

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 305]]

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 306]]

    (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 307]]

    (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 308]]

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 309]]

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 310]]



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 311]]

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 312]]

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 313]]

    (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 314]]

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 315]]

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 316]]

    (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 317]]

    (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 318]]

    (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 319]]

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 320]]

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 321]]

    (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 322]]

    (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 323]]

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 324]]

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 325]]

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 326]]

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 327]]

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 328]]

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 329]]

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 330]]

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.



    Sec. 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 331]]



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 332]]

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 333]]

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 334]]

    (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.



  Sec. 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 335]]

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.



   Sec. 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.



  Sec. 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 336]]

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.



  Sec. 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.



          Sec. 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 337]]

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)



         Sec. 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 338]]



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 339]]



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 340]]

    (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.



 Sec. 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.



          Sec. 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 341]]

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.



   Sec. 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



   Sec. 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 342]]


    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 343]]

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 344]]

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 345]]

    (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

[[Page 346]]

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 347]]



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 348]]



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 349]]

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 350]]

    (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 351]]

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 352]]

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.



 Sec. 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 353]]

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 354]]

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 355]]

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 356]]

    (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.



     Sec. 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.

[[Page 357]]

   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 358]]

     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 359]]



                     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 360]]

    (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 361]]

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 362]]

    (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 363]]

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 364]]

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 365]]

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 366]]

    (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 367]]

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 368]]

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 369]]

    (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 370]]



                         SUBCHAPTER F_PERSONNEL



PART 571_RECRUITING AND ENLISTMENTS--Table of Contents




             Subpart A_Recruiting and Enlistment Eligibility

Sec.
571.1 General.
571.2 Basic qualifications for enlistment.
571.3 Waiver enlistment criteria.
571.4 Periods of enlistment.
571.5 Enlistment options.

    Authority: 10 U.S.C. 504, 505, 509, 513, 520, 3262.

    Source: 72 FR 43162, Aug. 3, 2007, unless otherwise noted.



             Subpart A_Recruiting and Enlistment Eligibility



Sec. 571.1  General.

    (a) Purpose. This part gives the qualifications for men and women 
enlisting in the Regular Army (RA) or Reserve Components (RC). The 
procedures simplify and standardize the processing of recruited 
applicants. The applicant's ability to meet all requirements or 
exceptions will determine eligibility. This includes obtaining 
prescribed waivers.
    (b) References--
    (1) Required publications.
    (i) AR 601-210, Active and Reserve Components Enlistment Program. 
(Cited in Sec. Sec. 571.2, 571.3, and 571.5).
    (ii) AR 40-501, Standards of Medical Fitness. (Cited in Sec. Sec. 
571.2 and 571.3).
    (iii) AR 600-9, The Army Weight Control Program. (Cited in 
Sec. Sec. 571.2 and 571.3).
    (2) Related publications.
    (i) DOD Directive 1304.26, Qualifications for Enlistment, 
Appointment, and Induction.
    (ii) Army Retention Program.
    (c) Definitions. The following definitions apply to this part:
    (1) Enlistment. Voluntary contract (DD Form 4) for military service 
that creates military status as an enlisted member of the Regular Army 
or a Reserve Component. This includes enlistment of both non-prior 
service and prior service personnel.
    (2) Reenlistment. The second or subsequent voluntary enrollment in 
the Regular Army or a Reserve Component as an enlisted member.
    (3) United States Army. The Regular Army, Army of the United States 
(AUS), Army National Guard of the United States (ARNGUS), and the United 
States Army Reserve (USAR).
    (4) Regular Army (RA). The Regular Army is the component of the Army 
that consists of persons whose continuous service on active duty in both 
peace and war is contemplated by law and of retired members of the 
Regular Army.
    (5) Prior Service (PS). For persons enlisting in the RA, those who 
have 180 days or more of active duty in any component; or, for persons 
enlisting in a Reserve Component, those who have 180 days of active duty 
in any component of the armed forces and who have been awarded an MOS; 
or former members of an armed forces academy who did not graduate and 
who served 180 days or more.
    (6) Non-Prior Service (NPS). Those persons who have never served in 
any component of the armed forces or who have served less than 180 days 
of active duty as a member of any component of the armed forces. Reserve 
Component applicants must not have been awarded an MOS; or have enlisted 
illegally while underage and been separated for a void enlistment; or be 
a former member of a service academy who did not graduate and who served 
fewer than 180 days; or have completed ROTC and served only Active Duty 
for Training as an officer.
    (7) Delayed Entry Program (DEP). A program in which Soldiers may 
enlist and are assigned to a United States Army Reserve (USAR) Control 
Group until they enlist in the Regular Army. The Commanding General, 
United States Army Recruiting Command (USAREC) is authorized by 10 
U.S.C. 513 to organize and administer DEP.

[[Page 371]]



Sec. 571.2  Basic qualifications for enlistment.

    (a) Age requirements for non-prior service and prior service 
personnel are defined in AR 601-210.
    (b) Applicants must meet citizenship requirements as defined in AR 
601-210.
    (c) Non-prior and prior service applicants must meet medical fitness 
standards prescribed in AR 40-501. Height and weight standards for non-
prior service personnel AR 40-501 and in AR 600-9 for prior service 
personnel.
    (d) Education standards, dependency criteria, and trainability 
requirements are prescribed in AR 601-210.



Sec. 571.3  Waiver enlistment criteria.

    (a) Waiver criteria--
    (1) All persons who process applicants for enlistment in the Army 
use the utmost care to procure qualified personnel. Eligibility of 
personnel for enlistment will be based upon their ability to meet all 
requirements, including procurement of prescribed waivers.
    (2) Applicants applying for moral or medical waivers will document 
their waiver requests, as prescribed by AR 601-210 or AR 40-501.
    (3) The approval authorities for various types of waiver requests 
are set forth in AR 601-210. Commanders at levels below the approval 
authority may disapprove waivers for applicants who do not meet 
prescribed standards and who do not substantiate a meritorious case.
    (4) Unless otherwise stated in AR 601-210, waivers are valid for 6 
months.
    (b) Nonwaiver medical, moral, and administrative disqualifications 
are defined in AR 601-210.



Sec. 571.4  Periods of enlistment.

    Enlistments are authorized for periods of 2, 3, 4, 5, 6, 7, or 8 
years.



Sec. 571.5  Enlistment options.

    Personnel who enlist in the Regular Army for 2 or more years may 
select certain initial assignments or classifications, provided they 
meet the criteria set forth in AR 601-210 and valid Army requirements 
exist for the assignments and skills.



PART 575_ADMISSION TO THE UNITED STATES MILITARY ACADEMY--Table of Contents




Sec.
575.1 Military Academy.
575.2 Admission; general.
575.3 Appointments; sources of nominations.
575.4 [Reserved]
575.5 Entrance requirements.
575.6 Catalogue, United States Military Academy.

    Authority: Secs. 3012, 4331, 70A Stat. 157, 238; 10 U.S.C. 3012, 
4331-4355.

    Source: 44 FR 11781, Mar. 2, 1979, unless otherwise noted.



Sec. 575.1  Military Academy.

    (a) Organization and administration. (1) The United States Military 
Academy is under the general direction and supervision of the Department 
of the Army. The Secretary of the Army has designated the Chief of Staff 
of the Army as the officer in direct charge of all matters pertaining to 
West Point.
    (2) The immediate government and military command of the Academy and 
the military post at West Point are vested in the Superintendent. In the 
absence of the Superintendent, the Deputy Superintendent, if present for 
duty, shall have such government and command. The Dean of the Academic 
Board has charge of the faculty and all academic work, and acts as 
representative of the academic departments and as adviser on academic 
matters to the Superintendent. The Commandant of Cadets is in charge of 
the administration and training of the Corps of Cadets and is also head 
of the Department of Tactics.
    (b) Mission. The mission of the United States Military Academy is to 
educate, train, and motivate the Corps of Cadets so that each graduate 
shall have the character, leadership, and other attributes essential to 
progressive and continuing development throughout a career of exemplary 
service to the Nation as an officer of the Regular Army.
    (c) Courses of instruction. Courses include academic education and 
military training. In accomplishing its mission, the Military Academy 
strives to develop in each cadet the following traits:

[[Page 372]]

    (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 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

[[Page 373]]

 
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 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.

[[Page 374]]

    (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.
    (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 581_PERSONNEL REVIEW BOARD--Table of Contents




Sec.
581.1 Army Disability Review Board.
581.2 Army Discharge Review Board.

[[Page 375]]

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 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

[[Page 376]]

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.
    (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

[[Page 377]]

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:
    (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

[[Page 378]]

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 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.

[[Page 379]]

    (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.
    (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.

[[Page 380]]

    (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 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

[[Page 381]]

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 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--

[[Page 382]]

    (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 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

[[Page 383]]

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 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--

[[Page 384]]

    (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.
    (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

[[Page 385]]

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.
    (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

[[Page 386]]

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.
    (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

[[Page 387]]

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.
    (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.

[[Page 388]]

    (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 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

[[Page 389]]

court order for child support. The soldier is unable to show that the 
court granting the divorce had personal jurisdiction over the soldier so 
as to be able to order child support. The soldier has remarried and has 
a spouse and two children living in private housing. The soldier now has 
a total of four family members that he or she must support under Army 
policy. (These family members are the child by a previous marriage and 
the present spouse and two children.) Each family member should receive 
support equal to one-fourth of BAQ at the with-dependents rate for the 
soldier's rank.
    (C) Example 3. A soldier has two children by a previous marriage. 
The soldier is required by court order to pay $200 per month for these 
children. Also, the soldier is required to pay $75 per month for support 
of a 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--

[[Page 390]]

    (i) Abduct, taken, entice, or carry away the child from the lawful 
custodian.
    (ii) Withhold, detain, or conceal the child away from the lawful 
custodian.
    (2) A ``lawful custodian'' is a person authorized, either along or 
together with another person or persons, to have custody and exercise 
control over a child less than 14 years of age by order of a court. The 
fact that joint custody has been awarded to both parents by a court does 
not preclude a violation of this paragraph by the soldier parent. 
However, in the absence of a court order to the contrary, the mother of 
a child born out of wedlock who is not then, nor has ever been, married 
to the father of the child is deemed the ``lawful custodian'' of that 
child for the purpose of this regulation.
    (3) A soldier relative is a soldier who is the parent, grandparent, 
brother, sister, uncle, aunt, or one who has at 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.

[[Page 391]]

There is no court order or written support agreement. The soldier has a 
total of three family members. However, under Army support policy, the 
soldier does not have to provide a pro-rata share of financial support 
to the spouse because the spouse's income exceeds that of the soldier. 
(Note that under Sec. 584.2(a)(3) marital misconduct is not a relevant 
consideration.) The soldier must support the child in Government family 
quarters. In addition, the soldier must provide an amount equal to one-
third of BAQ (pro-rata share) at the ``with dependents'' rate to the 
spouse on behalf of the child living with the spouse.
    (2) [Reserved]
    (g) Commander's inquiries. (1) If a soldier denies he or she has a 
financial obligation to support a spouse or children for any reason, the 
soldier's commander will--
    (i) Inquire into the matter.
    (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.

[[Page 392]]

    (D) Recoupment of BAQ received by the soldier.
    (iii) Administrative or punitive action may be taken on a violation 
of this regulation for any month in which the soldier failed to provide 
the required financial support even if the amount in arrears eventually 
is paid.
    (3) Interim minimum financial support requirements. A soldier should 
be encouraged to pay the amount in arrears based on past noncompliance 
with the interim minimum financial support requirements (Sec. 584.2(d) 
(1)(iii) and (2)). However, a soldier cannot be ordered to pay such an 
amount. Nevertheless, administrative or punitive action may be taken on 
a violation of this regulation for any month in which the soldier failed 
to provide the required financial support even if the amount in arrears 
eventually is paid. 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.

[[Page 393]]

USACFSC will provide policy interpretations and guidance on unresolved 
or complex cases, as needed. USACFSC normally will go through command 
channels to the immediate commander of the soldier concerned requesting 
that action be taken under this regulation.
    (4) Family members who present complaints against a military member 
of another Service (Air Force, Marine Corps, Navy, or Coast Guard) 
should be referred to the appropriate Service.
    (l) Commander's actions. (1) Upon receipt of a complaint of 
nonsupport or noncompliance with court orders, including provisions on 
child custody or visitation rights, the commander will review the 
complaint. He or she will do the following if the information is 
incomplete:
    (i) Acknowledge receipt of the complaint.
    (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.

[[Page 394]]

    (xi) Urge soldiers to provide continuous support to family members 
by allotment. The allotment should be for the mutually agreed amount, 
court order, or as computed under this regulation. An account may be set 
up in a financial institution by the recipient to receive the allotment. 
This action may preclude delays in receipt and other related problems in 
the future.
    (xii) Help the soldier start an allotment to make the required 
support payments. Also, advise the soldier to let the commander know if 
there is a change or stoppage to the support allotment.
    (xiii) Give the soldier a chance to consult with a legal assistance 
attorney if he or she desires. However, the commander should ensure that 
this is not used as a delaying tactic. Where appropriate, a support 
payment plan should be initiated without delay.
    (xiv) Urge soldiers thinking about divorce to seek legal advice from 
a legal 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.

[[Page 395]]

    (ii) Inform the soldier of the suspected offense. Before 
questioning, advise the soldier of his right to remain silent under 
article, 31, UCMJ, and his right to counsel under the Fifth Amendment.
    (iii) Coordinate further action under this regulation with the SJA 
and law enforcement officials if appropriate.
    (2) If there is no evidence that an offense was committed--
    (i) Allow the soldier a chance to talk with a legal assistance 
attorney about his legal rights and obligations.
    (ii) Require the soldier to complete and sign DA Form 5459-R. 
Information obtained from a system of records normally will not be 
released outside DOD without the soldier's consent. (See Sec. 
584.1(f).)
    (iii) Inform the soldier of Army policy on the support of family 
members contained in this regulation.
    (iv) Advise the soldier that a court order against him on the 
paternity claim, followed by a refusal to support 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.

[[Page 396]]

    (iv) Administrative or punitive action for violating this 
regulation.
    (3) Refer the soldier to a legal assistance attorney for advice on 
his legal rights and obligations.
    (4) Help the soldier file an attotment or give other financial aid.
    (5) Advise the claimant of the amount, effective date, and means of 
payment.
    (6) Help the soldier apply for BAQ at the ``with dependents'' rate, 
if applicable.
    (7) Ensure an ID card is issued for the child.
    (8) Consider administrative or punitive action if the soldier fails 
to obey the court order. (See Sec. 584.1(d)(5)(viii.)
    (9) Inform the first level field grade commander of the soldier's 
repeated failure to meet the requirements of this regulation. Also, 
point out actions taken or contemplated to correct instances of 
nonsupport of family members.



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

[[Page 397]]

child is in the United States, will make the decision. Documents that 
may be important in supporting a citizenship determination are listed 
below:
    (i) Proof of father's citizenship. This may consist of any of the 
following:
    (A) A certified copy of his birth certificate (with a raised seal of 
the registrar of births).
    (B) A report of birth abroad (FS Form 240 (Report of Birth Abroad of 
a Citizen of the United States)).
    (C) A certificate of citizenship.
    (D) A certificate of naturalization.
    (E) A valid U.S. Passport.
    (F) A certified copy of an approved U.S. passport application.
    (G) Any secondary evidence acceptable by the State Department or 
INS.
    (ii) Affidavit of paternity.
    (iii) Proof of presence in the foreign country at time of 
conception. (This information can be extracted from the passport, DA 
Form 2-1 (Personnel Qualification Record--Part II), etc.).
    (iv) Child's birth certificate.
    (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.

[[Page 398]]

    (4) After delivery of correspondence, the responsible official will 
advise the complainant or claimant--
    (i) Of the date and method of delivery.
    (ii) That the military department does not control the personal 
affairs of nonactive duty personnel. These personnel usually are in a 
civilian status and are not subject to military discipline. Therefore, 
the matter has been left to the person's discretion.
    (iii) Of the person's mailing address only if the conditions in 
Sec. 584.6(c) are met.
    (b) Procedures governing discharged personnel. Nonsupport complaints 
or paternity claims against persons who have been discharged from the 
Service will be sent to RCPAC. These persons do not hold any military 
status whatsoever. Commander, RCPAC will return the correspondence and 
all accompanying documentation and advise the complainant or claimant--
    (1) That the person is no longer a member of the Army or the Reserve 
Components.
    (2) Of the date of discharge.
    (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--

[[Page 399]]

    (i) Violating the minimum support requirements of this regulation.
    (ii) Submitting a fraudulent claim for BAQ based on false 
information.
    (c) Forfeiture of BAQ. Forfeiture of the ``with dependents'' portion 
of BAQ does not relieve the soldier of the obligation to support family 
members as set up in this regulation.
    (d) BAQ entitlements versus Army minimum support requirements Terms 
for entitlements to BAQ are set forth in DODPM, part 3, chapter 2. 
Except as provided in this regulation, BAQ entitlements have no 
relationship to Army minimum support requirements.



Sec. 584.8  Garnishment.

    (a) General. (1) Pub. L. 93-647 (42 U.S.C. 659) permits garnishment, 
attachment, or assignment of Federal wages and retirement payments to 
enforce court-ordered child support and alimony obligations that are in 
arrears. It includes foreign court orders when--
    (i) Required by treaty or international agreement. (A soldier is 
subject to garnishment for child support 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

[[Page 400]]

active duty as child, or child and spousal, support payments when--
    (1) The soldier has failed to make payments under a court order for 
2 months or in a total amount equal to or in excess of the support 
obligations for 2 months.
    (2) Failure to make such payments is established by notice from an 
authorized person to the Commander, USAFAC, ATTN: FINCL-G, Indianapolis, 
IN 46249-0160. An authorized person is--
    (i) Any agent or attorney of any State having in effect a plan 
approved under part D of title IV of the Social Security Act (42 U.S.C. 
651-664), who has the duty or authority under the plan to seek recovery 
of any amounts owed as child or child and spousal support (including, 
when authorized under a State plan, any official of a political 
subdivision).
    (ii) A court or agent of the court that has authority to issue an 
order against the soldier for the support and maintenance of a child.
    (3) Such notice must give the soldier's full name and SSN. Also, it 
must list the name and address of the person to whom the allotment is 
payable. The 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.



                 Sec. 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

[[Page 401]]

    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
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.

[[Page 402]]

                       Financial Support Provision

    The provision in a court order or separation agreement directing the 
soldier to provide financial support to a family member on a periodic 
basis.

                       Government Family Quarters

    Any sleeping accommodations or family-type housing owned or leased 
by the U.S. Government.

                                Gross Pay

    For support purposes, gross pay includes basic pay and allowances to 
include special, incentive, and other pay when received on a monthly 
basis. Gross pay does not include funds not received on a monthly basis 
(that is, enlistment and reenlistment bonuses and accrued leave 
payments). Gross pay does not include wages from off-duty employment.

                        Legal Assistance Attorney

    Army lawyers designated to advise and assist soldiers and their 
families on family law matters. Such matters include marriage, divorce, 
adoption, paternity, child custody problems, and support obligations. In 
the context of this regulation, a legal assistance attorney also 
includes a lawyer retained by a soldier at his or her own expense.

                             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

[[Page 403]]

of DoD members, employees, and family members outside the United States 
with court orders.'' This guidance applies to all soldiers and 
Department of the Army and Nonappropriated Fund (NAF) civilian employees 
serving outside the United States, as well as to their command sponsored 
family members.
    (b) DODD 5525.9 requires DoD cooperation with courts and federal, 
state, and local officials in enforcing court orders pertaining to 
military personnel and DoD employees serving outside the United States, 
as well as their command sponsored family members, who--
    (1) Have been charged with or convicted of any felony.
    (2) Have been held in contempt of a court for failure to obey a 
court order, or
    (3) Have been ordered to show cause why they should not be held in 
contempt for failing to obey a court order.

This guidance does not affect the authority of Army officials to 
cooperate with courts and federal, state, or local officials, such as is 
currently described in Army Regulation 27-3, Legal Services, Army 
Regulation 190-9, Military Absentee and Deserter Apprehension Program, 
and Army Regulation 608-99, Family Support, Child Custody, and 
Paternity, in enforcing orders against soldiers and employees in matters 
not discussed below. The guidance below does not authorize Army 
personnel to serve or attempt to serve process from U.S. courts on 
military or DoD employees overseas. (See also AR 27-40, Litigation, 
paragraph 1-7.)



Sec. 589.3  Applicability.

    This section applies to the following personnel:
    (a) Army personnel on active duty or inactive duty for training in 
overseas areas. This includes the National Guard when federalized.
    (b) Department of the army civilian employees, including 
Nonappropriated Fund Instrumentalities (NAFI) employees.
    (c) Command sponsored family members of Army personnel or Department 
of the Army civilian employees.



Sec. 589.4  General.

    (a) Courts of federal, state, or local officials desiring to 
initiate a request for assistance pursuant to this section must forward 
the request, with appropriate court orders, as follows:
    (1) For soldiers and members or their family, to the soldier's unit 
commander of Office, Deputy Chief of Staff for Personnel (ODCSPER), 
ATTN: DAPE-MP (703-695-2497); and
    (2) For Department of the Army civilian employees and members of 
their family, to the servicing civilian personnel office for the 
employee's command, or ODCSPER, ATTN: DAPE-CPL, (703-697-4429).
    (3) Nonappropriated Fund (NAF) employees and members of their 
family, to the servicing civilian personnel office for the employee's 
command, or ODCSPER, ATTN: CFSC-HR-P (703-325-9461).
    (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

[[Page 404]]

Secretary of the Army. Such requests, fully setting forth the reasons 
justifying delay and the estimated delay necessary, will be forwarded 
within 30 days directly to ODCSPER, ATTN: DAPE-MP (for military 
personnel and their family members or ODCSPER, ATTN: DAPE-CPL (for Army 
civilian employees and their family members) or ODCSPER, ATTN: CFSC-HR-P 
(for NAF employees and their family members). These offices must 
promptly forward the request for delay to the Assistant Secretary of 
Army (Manpower and Reserve Affairs) ASA(M&RA), for approval. If a delay 
is approved, ASA(M&RA) will promptly notify the Assistant Secretary of 
Defense (Force Management and Personnel) ASD (FM&P), copy furnished 
General Counsel, Department of Defense (GC, DOD).
    (4) If one, the matter cannot be resolved, and two, it appears that 
noncompliance with the request to return the soldier, or to take other 
action involving a family member or DA or NAF employee is warranted by 
all the facts and circumstances of the particular case, and three, the 
court order does not pertain to any felony or to a contempt involving 
the unlawful or contemptuous removal of a child from the jurisdiction of 
the court or the custody of a parent or another person awarded custody 
by court order, the matter will be forwarded, for soldiers or their 
family members to the soldier's general court-martial convening 
authority or, for army civilian or NAF employees or their family 
members, to the fairest general officer or civilian equivalent in the 
employee's chain of command, for a determination as to whether the 
request should be complied with. In those cases in which it is 
determined that noncompliance with the request is warranted, copies of 
that determination will be forwarded directly to the appropriate office 
noted in Sec. 589.4(b)(3) and to HQDA, DAJA-CL, pursuant to chapter 6, 
AR 190-9.
    (5) If one, the matter cannot be resolved, and two, it appears that 
noncompliance with the request to return the soldier, or to take other 
action involving a family member of DA or NAF employee, is warranted by 
all the facts and circumstances of the particular case, and three, the 
court order pertains to any felony or to a contempt involving the 
unlawful or contemptuous removal of a child from the jurisidiction of a 
court or the custody of a parent or another person awarded custody by 
court order, a request for exception to policy will be forwarded 
directly to the appropriate office listed in Sec. 589.3(b)(3) with an 
information copy to HQDA, DAJA-AL, within 30 days unless a delay has 
been approved by ASA(M&RA). The offices listed in Sec. 589.3(b)(3) must 
forward the request for an exception promptly through ASA(M&RA) to 
ASD(FM&P) for decision, copy furnished to General Counsel, DOD.
    (6) All actions, whether to invoke the DOD Directive or not, must be 
reported promptly to ASD(FM&P) and General Counsel, Department of 
Defense. See also DOD Directive 5525.9, paragraph E.3.c.
    (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

[[Page 405]]

must be deducted from the soldier's entitlement to travel and per diem 
allowances. The soldier will be returned in a temporary duty (TDY) 
status, unless a permanent change of station (PCS) is appropriate.
    (e) If requests for Army civilian and NAF employees cannot be 
resolved and denial of the request as outlined in this section is not 
warranted, the individual will be strongly encouraged to comply with the 
court order. Failure to comply with such orders by an Army civilian or 
NAF employee, if all criteria are met, is a basis for withdrawal of 
command sponsorship and adverse action against the employee, to include 
removal from federal service. Proposals to take disciplinary/adverse 
actions must be coordinated with the appropriate civilian personnel 
office (CPO) and the servicing Judge Advocate or legal advisor and 
forwarded for approval to the first general officer or civilian 
equivalent in the employee's chain of command. A copy of the final 
action taken on the case must be forwarded to HQDA, ATTN: DAPE-CPL, or 
ATTL: CFSC-HR-P (for NAF employees).
    (f) If the request is based upon a valid court order pertaining to a 
family member of a soldier or Army civilian or NAF employee, the family 
member will be strongly encouraged to comply with the court order if 
denial of the request as outlined in this part is not warranted. Unless 
the family member can show legitimate cause for non-compliance with the 
order, considering all of the facts and circumstances, failure to comply 
may be basis for withdrawal of command sponsorship.
    (g) Failure of the requesting party to provide travel expenses for 
military personnel as specified in this section, is grounds to be 
recommended denial of the request for assistance. The request must still 
be forwarded through DAPE-MP and ASA(M&RA) to ASD(FM&P) for decision, 
copy furnished to General Counsel, Department of Defense.

[55 FR 47042, Nov. 8, 1990, as amended at 56 FR 371, Jan. 4, 1991]

[[Page 406]]



                        SUBCHAPTER G_PROCUREMENT



    Cross Reference: For Department of Defense Acquisition Regulations, 
see chapter 2 of title 48.

                           PART 619 [RESERVED]

[[Page 407]]



                   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 408]]

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 409]]

    (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 410]]

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 411]]

    (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 412]]



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 413]]

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 414]]

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 415]]

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 416]]

    (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 417]]

    (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 418]]

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 419]]

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 420]]

    (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 421]]

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 422]]

    (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 423]]

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 424]]

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 425]]



                                      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 426]]

 
  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 427]]

 
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 428]]

    (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 429]]

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 430]]

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 431]]

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 432]]

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 433]]

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 434]]

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 reconciliation 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 435]]

    (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 436]]

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 number and the 
return advice code ``IQ.''

[[Page 437]]

    (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 of the club or institution will be determined by a report of 
survey (AR 735-

[[Page 438]]

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.
    (2) Travel and per diem expenses of Army personnel (military and 
civilian).

[[Page 439]]

    (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.
    (ii) A statement on the transaction record (if appropriate) as 
follows: ``The losses and/or damages shown on the

[[Page 440]]

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 
collection action under normal operating procedures. All later 
collection action is the responsibility of the Comptroller. Accounting 
records and reports will conform with normal procedures. When further 
collection effort by the Comptroller fails, these accounts will be 
dropped from receivable balances of the Army. They will be referred to 
the General Accounting Office (GAO).



Sec. 623.7  Reports.

    (a) General. Reports of Army materiel loaned to non-DOD activities 
must be forwarded as described below.
    (b) Aircraft piracy. (1) Commands and agencies providing aircraft 
piracy support will initially report through command channels by 
telephone to the HQDA, (DAMO-ODS). (Para 4, app B.)

[[Page 441]]

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--
    (i) An historic account of the disaster.
    (ii) Cumulative totals of support given.

[[Page 442]]

    (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.



            Sec. Appendix A to Part 623--Explanation of Terms

As used in this regulation, the following explanation of terms apply:
Accouterments. Equipment that is associated with small arms 
characterized as personal and individual that is available from Army 
stocks.
Approving authority. The person (or designee) authorized to approve 
specific types of loans of Army materiel. (See table 2-1 and app B.)
Arms. Weapons for use in war.
Civil authorities. Those elected and appointed public officials and 
employees who govern the 50 States, District of Columbia, Commonwealth 
of Puerto Rico, US possessions and territories, and governmental 
subdivisions thereof.
Civil defense. All those activities and measures designed or undertaken 
to:
    a. Minimize the effects upon the civilian population caused, or 
which would be caused, by an enemy attack upon the United States.
    b. Deal with immediate emergency conditions which would be created 
by any such attack.
    c. Effect emergency repairs to, or the emergency restoration of, 
vital utilities and facilities destroyed or damaged by any such attack 
(JCS Pub 1).
Community relations program. A program of action, to earn public 
understanding and acceptance, conducted at all levels of military 
command wherever stationed. The program includes participation in public 
events, humane acts, and cooperation with public officials and civil 
leaders (AR 360-61).
Defense Civil Preparedness Agency (DCPA). A defense department agency 
responsible for plans and preparations for civil defense and assistance 
to local governments in disaster relief planning.
Department of Housing and Urban Development (HUD). The Federal 
department responsible for directing and coordinating Federal assistance 
for major disasters on behalf of the President.

[[Page 443]]

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 444]]



  Sec. 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 445]]



Sec. Appendix C to Part 623--Agreement for Loan of US Army Materiel (DA 

                              Form 4881-R)

[GRAPHIC] [TIFF OMITTED] TC24OC91.013


[[Page 446]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.014


[[Page 447]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.015


[[Page 448]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.016


[[Page 449]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.017

[GRAPHIC] [TIFF OMITTED] TC24OC91.018


[[Page 450]]





 Sec. Appendix D to Part 623--Certificate for Signature by an Alternate 

                           (DA Form 4881-1-R)

[GRAPHIC] [TIFF OMITTED] TC24OC91.019


[[Page 451]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.020


[[Page 452]]





       Sec. Appendix E to Part 623--Surety Bond (DA Form 4881-3-R)

[GRAPHIC] [TIFF OMITTED] TC24OC91.021


[[Page 453]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.022


[[Page 454]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.023


[[Page 455]]





    Sec. Appendix F to Part 623--Power of Attorney (DA Form 4881-4-R)

[GRAPHIC] [TIFF OMITTED] TC24OC91.024


[[Page 456]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.025


[[Page 457]]





       Sec. Appendix G to Part 623--Continental US Army Boundaries

[GRAPHIC] [TIFF OMITTED] TC24OC91.026



                 Sec. 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 458]]

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 459]]



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.



    Sec. 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

                        PARTS 626-629 [RESERVED]


[[Page 461]]



                              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 463]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2009)

                      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
       III  Department of Health and Human Services (Parts 300-- 
                399)
        VI  Department of State (Parts 600--699)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1880--1899)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)
     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)

[[Page 464]]

      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
    XXXVII  Peace Corps (Parts 3700--3799)

                Title 3--The PresidentCHAPNO

            Presidential Documents
         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 (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600-- 3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      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 (Parts 4300--
                4399)
      XXXV  Office of Personnel Management (Parts 4500--4599)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)

[[Page 465]]

      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
      XCIX  Department of Defense Human Resources Management and 
                Labor Relations Systems (Department of Defense--
                Office of Personnel Management) (Parts 9900--9999)

                      Title 6--Domestic 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)

[[Page 466]]

            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)
     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)

[[Page 467]]

     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)
         L  Rural Business-Cooperative Service, Rurual Housing 
                Service, and Rural Utilities Service, Department 
                of Agriculture (Parts 5000--5099)

                    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)

                           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 (Parts 1800--1899)

[[Page 468]]

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts9400--9499)

                      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)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

[[Page 469]]

                 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)

             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)

[[Page 470]]

      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 Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)

[[Page 471]]

         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millenium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          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 
                HousingCommissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)

[[Page 472]]

      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 (Parts 1200--1299)

                      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)
        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)

[[Page 473]]

       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)

                      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)

[[Page 474]]

       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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)

[[Page 475]]

        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvmeent, 
                Department of Education [Reserved]
        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)
        VI  [Reserved]
       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 (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

[[Page 476]]

             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 Regulatory 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)
            Chapters 62--100 [Reserved]
            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)
            Chapters 103--104 [Reserved]
       105  General Services Administration (Parts 105-1--105-999)

[[Page 477]]

       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)
            Chapters 129--200 [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [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 478]]

                       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) 
                [Reserved]
         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 479]]

        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  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)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement [Reserved]

[[Page 480]]

        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 [Reserved]
       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)
        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)

[[Page 481]]

         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 483]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2009)

                                                  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              22, II
  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                               2, IX; 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, L
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV, L
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII, L
  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 484]]

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                       5, LXVIII; 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    2, XXII; 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 485]]

  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, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Human Resources Management and Labor Relations  5, XCIX
       Systems
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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
Election Assistance Commission                    11, II
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                   2, XV; 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

[[Page 486]]

  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 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 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 Agency                    12, XII
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

[[Page 487]]

General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management 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          2, III; 5, XLV; 45, 
                                                  Subtitle A,
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
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
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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

[[Page 488]]

Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  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            2, XIV; 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 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
Investment Security, Office of                    31, VIII
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                                2, XXVII; 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

[[Page 489]]

  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
  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, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Millenium Challenge Corporation                   22, XIII
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
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 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      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
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 Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
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 Intelligence, Office of Director of      32, XVII
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

[[Page 490]]

National Science Foundation                       2, XXV; 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
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
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
  Human Resources Management and Labor Relations  5, XCIX
       Systems, Department of Defense
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  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 Regulatory 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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV, L
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII, L
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
[[Page 491]]

Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 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 Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, 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                       2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8

[[Page 492]]

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 493]]



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